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JP

Jody L. Pullium

Some features on this profile are disabled
CRD#: 3272304
JP

Professional summary

Jody L Pullium was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jody is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Jody had worked at 7 firms, which includes ALLSTATE FINANCIAL ADVISORS LLC, ALLSTATE FINANCIAL SERVICES LLC, PNC WEALTH MANAGEMENT LLC, CHASE INVESTMENT SERVICES CORP., NATCITY INVESTMENTS INC., ASSOCIATED INVESTMENT SERVICES INC., EDWARD JONES.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jody Pullium

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 31, 2013 - November 11, 2019

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
East Peoria, IL
Past

October 31, 2013 - November 11, 2019

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
East Peoria, IL
Past

February 15, 2013 - October 14, 2013

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
PEORIA, IL
Past

August 29, 2012 - October 14, 2013

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PEORIA, IL
Past

June 9, 2011 - August 13, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
PEORIA, IL
Past

June 9, 2011 - August 13, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
PEORIA, IL
Past

November 13, 2009 - April 25, 2011

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
PEORIA, IL
Past

November 13, 2009 - April 25, 2011

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PEORIA, IL
Past

May 1, 2003 - November 13, 2009

NATCITY INVESTMENTS, INC.

RIA
CRD#: 17490
PEORIA, IL
Past

February 20, 2002 - November 13, 2009

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
PEORIA, IL
Past

March 19, 2001 - June 17, 2001

ASSOCIATED INVESTMENT SERVICES, INC.

BD
CRD#: 1464
GREEN BAY, WI
Past

December 11, 1999 - March 20, 2001

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

September 27, 1999 - December 7, 1999

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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".
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/24/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/3/1999
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: 9/24/1999
General Securities Representative Examination

Current Firm

AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Mailing Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Phone number
(877) 232-2142
Established
Firm type
Fiscal year end
# of Employees
337

SEC notice filing (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts280
AUM (Assets Under Management)$ 82,015,793

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.

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524

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