Michelle C. Pulliam

THE LEADERS GROUP

Louisville, KY 40223

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CRD#: 4013218

Professional summary

Michelle Carroll Pulliam, who also goes by Missy Carroll, Michelle Ann Epperson, Missy Ann Pulliam, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Louisville, Kentucky and JOHNSTONE BROKERAGE SERVICES, LLC located in Louisville, Kentucky.

Michelle is registered as a RR (Registered Representative) and started their career in finance in 2001. Michelle has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Missy Carroll | Michelle Ann Epperson | Missy Ann Pulliam

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) - BD

Click below to view Michelle Carroll Pulliam'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

April 13, 2020 - Present

THE LEADERS GROUP, INC.

Office #1: 1906 Stanley Gault Pkwy, Louisville, KY 40223

CRD#: 37157

Louisville, KY

Current

May 23, 2023 - Present

JOHNSTONE BROKERAGE SERVICES, LLC

Office #1: 1906 Stanley Gault Pkwy, Louisville, KY 40223

CRD#: 301394

Louisville, KY

Past

January 29, 2019 - April 3, 2020

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

Louisville, KY

Past

October 13, 2008 - January 27, 2020

JEFFERSON NATIONAL SECURITIES CORPORATION

CRD#: 47582

LOUISVILLE, KY

Past

March 12, 2001 - December 31, 2005

TOUCHSTONE SECURITIES, INC.

CRD#: 1526

LOUISVILLE, KY

State Registrations and Notice Filings

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

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

Arizona
(5/8/2025)

Colorado
(7/3/2025)

Connecticut
(5/9/2025)

District of Columbia
(5/12/2025)

Florida
(4/14/2025)

Idaho
(4/14/2025)

Kentucky
(5/8/2025)

Louisiana
(5/8/2025)

Maryland
(5/8/2025)

Exams

State Security Law Exam

Series 63

Date: 9/14/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/9/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/28/2004

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

JOHNSTONE BROKERAGE SERVICES, LLC

CRD#: 301394 / SEC#: , 8-70335

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1906 Stanley Gault Parkway, Louisville, KY 40223

Mailing Address

117 San Augustine Street, Center, TX 75935

Phone number

(936) 340-2929

Established

Texas since 12/31/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DPL FINANCIAL PARTNERS, LLC	PARENT COMPANY
ARCH PORTFOLIO TRUST, LLC	MEMBER.
NAVEED, HASNAIN	FINOP	7004810
PULLIAM, MICHELLE CARROLL	CHIEF COMPLIANCE OFFICER	4013218
SMITH, ROY THOMAS	MANAGING PRINCIPAL	2542940

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

Michelle C. Pulliam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michelle Carroll Pulliam's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHNSTONE BROKERAGE SERVICES, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

JEFFERSON NATIONAL SECURITIES CORPORATION

TOUCHSTONE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/14/2000

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 3/9/2001

Series 26

Date: 9/28/2004

FINRA

Current Firm

JOHNSTONE BROKERAGE SERVICES, LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

JOHNSTONE BROKERAGE SERVICES, LLC

TRUST BUT VERIFY

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