Michael C. Fullington

FULLINGTON & ASSOCIATES

Lake Charles, LA

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CRD#: 3150612

Professional summary

Michael Clayton Fullington is a registered financial advisor currently at FULLINGTON & ASSOCIATES, LLC located in Lake Charles, Louisiana.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Michael has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Clayton Fullington's 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

December 16, 2010 - Present

FULLINGTON & ASSOCIATES, LLC

RIA

CRD#: 130764

Lake Charles, LA

Past

December 20, 2002 - March 31, 2004

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LAKE CHARLES, LA

Past

December 7, 1998 - March 31, 2004

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

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.

Highlighted states indicate IAR registrations

IAR

Louisiana
(12/16/2010)

IAR

Texas
(2/3/2011)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/12/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/10/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/3/1998

General Securities Representative Examination

Current Firm

FULLINGTON & ASSOCIATES, LLC

FULLINGTON & ASSOCIATES, LLC | FULLINGTON, MICHAEL CLAYTON

CRD#: 130764 / SEC#:

Louisiana

Registered Investment Advisory firm - (8/24/2004 Approved)

Texas

Registered Investment Advisory firm - (2/3/2011 Conditional Restricted)

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Contact information

Main Address

Lake Charles, LA

Mailing Address

Phone number

(337) 480-0317

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	35
AUM (Assets Under Management)	$ 10,080,303

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael C. Fullington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Clayton Fullington's CRS (Customer Relationship Summary).

Certified licenses

Experience

FULLINGTON & ASSOCIATES, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2008

Series 63

Date: 2/10/2001

Series 7

Date: 12/3/1998

Current Firm

FULLINGTON & ASSOCIATES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FULLINGTON & ASSOCIATES, LLC

TRUST BUT VERIFY

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