John T. Fulgham
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Thomas Fulgham, who also goes by John T Fulgham, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2004 - April 6, 2017
CITY NATIONAL ROCHDALE
November 29, 2004 - April 6, 2017
CNR SECURITIES, LLC
July 19, 2004 - October 27, 2004
COASTAL INVESTMENT ADVISORS INC
July 12, 2004 - October 27, 2004
COASTAL DISCOUNT STOCKBROKERS, INC.
June 2, 2004 - June 9, 2004
FISHER INVESTMENTS
September 18, 2002 - November 20, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 12, 2002 - November 20, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 1, 2000 - March 26, 2001
TRUIST INVESTMENT SERVICES, INC.
April 16, 1999 - September 8, 2000
OSAIC FA, INC.
December 22, 1998 - March 18, 1999
TRUIST INVESTMENT SERVICES, INC.
June 6, 1997 - October 7, 1998
FIRST UNION BROKERAGE SERVICES, INC.
December 7, 1994 - June 11, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
