Jim Bryan Pulley | Financial Professional | Wichita Falls, Texas | PROSPERITY WEALTH MANAGEMENT, INC.

Professional summary

Jim Bryan Pulley is a registered financial advisor currently at PROSPERITY WEALTH MANAGEMENT, INC. located in Wichita Falls, Texas and FORTUNE FINANCIAL SERVICES, INC. located in Wichita Falls, Texas.

Jim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Jim has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

__1__PULLEY INSURANCE & FINANCIAL SERVICE. POSITION: Agent. NATURE: Insurance Agent. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 09/01/2010 ADDRESS: 3415 McNiel Ave, Suite 104, Wichita Falls TX 76308, United States DESCRIPTION: Sales and service of life insurance products. __2__RENTAL PROPERTY. POSITION: Landlord. NATURE: Rent a home to our niece and her family. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 08/26/2013 ADDRESS: 331 Hays St, Ada OH 45810, United States DESCRIPTION: Pay taxes and insurance. __3__JIM B PULLEY. POSITION: Author. NATURE: Authored "Love, Loneliness, Abuse and Murder." INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 09/23/2013 ADDRESS: 3415 McNiel Ave, Suite 104, Wichita Falls TX 76308, United States DESCRIPTION: Marketing sales of book. _4_PULLEY INSURANCE & FINANCIAL SERVICE. POSITION: Agent. NATURE: Work with attorneys and CPA's who identify clients for whom trust owned life insurance may be appropriate. Premium Financing is offered through a variety of providers. I use NIW out of Dallas, TX. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/21/2017 ADDRESS: 3415 McNiel Ave, Suite 104, Wichita Falls TX 76308, United States DESCRIPTION: Explain the life product to the clients, and service the accounts whenever necessary. Client reviews, assist with requests for life insurance related data. __5__ IAR with Prosperity Wealth Management

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jim Bryan Pulley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 3, 2020 - Present

PROSPERITY WEALTH MANAGEMENT, INC.

Office #1: 3415 Mcniel Ave Suite 104, Wichita Falls, TX 76308

RIA

CRD#: 174328

Wichita Falls, TX

Current

October 31, 2018 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 3415 Mcniel Avenue Suite 104, Wichita Falls, TX 76308

BD

CRD#: 42150

Wichita Falls, TX

Past

November 5, 2018 - December 31, 2019

PROSPERITY WEALTH MANAGEMENT, INC.

RIA

CRD#: 174328

WICHITA FALLS, TX

Past

August 27, 2010 - November 20, 2018

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

WICHITA FALLS, TX

Past

August 27, 2010 - November 20, 2018

QUESTAR CAPITAL CORPORATION

BD

CRD#: 43100

WICHITA FALLS, TX

Past

December 18, 2006 - August 20, 2010

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

WICHITA FALLS, TX

Past

August 18, 2006 - August 20, 2010

NYLIFE SECURITIES LLC

BD

CRD#: 5167

WICHITA FALLS, TX

Past

August 2, 1995 - August 29, 2006

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

WICHITA FALLS, TX

Past

August 2, 1995 - August 29, 2006

PRUCO SECURITIES, LLC.

BD

CRD#: 5685

WICHITA FALLS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PW

PROSPERITY WEALTH MANAGEMENT, INC.

CRD#: 174328 / SEC#: 801-101485

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (8/14/2015 Terminated)

Georgia

Registered Investment Advisory firm - (7/27/2015 Terminated)

Illinois

Registered Investment Advisory firm - (7/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (7/15/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (7/15/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Florida
(10/31/2018)

RR

Ohio
(10/31/2018)

RR

Texas
(10/31/2018)

IAR

Texas
(1/3/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/19/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 8/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 3/31/2005

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 8/1/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 26

Date: 7/21/1997

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

RR

FINRA

Current Firm

PW

PROSPERITY WEALTH MANAGEMENT, INC.

CRD#: 174328 / SEC#: 801-101485

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (8/14/2015 Terminated)

Georgia

Registered Investment Advisory firm - (7/27/2015 Terminated)

Illinois

Registered Investment Advisory firm - (7/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (7/15/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (7/15/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583

Mailing Address

Phone number

(925) 791-4444

Established

Firm type

Fiscal year end

# of Employees

51

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A - FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,832
AUM (Assets Under Management)	$ 442,192,443

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.

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Advisor Monitoring

Firm Stability Insights

Jim B. Pulley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jim Bryan Pulley's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

PROSPERITY WEALTH MANAGEMENT, INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

PROSPERITY WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/19/2002

Series 63

Date: 8/1/1995

SIE

Date: 10/1/2018

Series 7

Date: 3/31/2005

Series 6

Date: 8/1/1995

Series 26

Date: 7/21/1997

FINRA

Current Firm

PROSPERITY WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY WEALTH MANAGEMENT, INC.

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