KP
Kelly V. Pulliam
Some features on this profile are disabled
CRD#: 4146320
KP
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.
Kelly Vaughn Pulliam was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2000. Kelly had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
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®
NoneExperience
Past
April 9, 2003 - February 20, 2004
G. A. REPPLE & COMPANY
BD
CRD#: 17486
CASSELBERRY, FL
Past
January 7, 2002 - December 31, 2002
LOMBARD SECURITIES INCORPORATED
BD
CRD#: 27954
BALTIMORE, MD
Past
April 27, 2001 - December 6, 2001
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
May 15, 2000 - April 17, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
GA
G. A. REPPLE & COMPANY
123-INVESTING | WOLFE FINANCIAL GROUP | WITTHAUER FINANCIAL GROUP | WALKER FINANCIAL | TRINITY WEALTH MANAGEMENT | THOMAS STROBHAR FINANCIAL | TELEIOS FINANCIAL PARTNERS | REPPLE WEALTH MANAGEMENT | REPPLE WEALTH GROUP | MANGROVE FINANCIAL GROUP | KINGDOM FINANCIAL SERVICES | HORIZON FINANCIAL SOLUTIONS | HARVEST FINANCIAL | GVC INVESTMENTS | G. A. REPPLE & COMPANY | EXODUS FINANCIAL SERVICES | ENGWALL CLARK AND ASSOCIATES | ENGEDI FINANCIAL | DAN HARDT FINANCIAL SERVICES | COVENANT FINANCIAL MANAGEMENT | CHRISTIAN FAMILY FINANCIAL | BOB HOLBROOK INVESTMENT SERVICES | AVANTI WEALTH MANAGEMENT | ANSEVIN ASSET MANAGEMENT | ALICEA SERVICES | ALAN SIEGEL FINANCIAL SERVICES
CRD#: 17486 / SEC#: 801-63426, 8-35315
RIA
Registered Investment Advisory firm - SEC (9/16/2004 Approved)Arkansas
Registered Investment Advisory firm - SEC (9/23/2004 Terminated)California
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/17/2004 Terminated)Florida
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Kentucky
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Louisiana
Registered Investment Advisory firm - SEC (2/11/2005 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)South Carolina
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Tennessee
Registered Investment Advisory firm - SEC (12/17/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Washington
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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
State Security Law Exam
General Industry/Product Exam
Current Firm
GA
G. A. REPPLE & COMPANY
123-INVESTING | WOLFE FINANCIAL GROUP | WITTHAUER FINANCIAL GROUP | WALKER FINANCIAL | TRINITY WEALTH MANAGEMENT | THOMAS STROBHAR FINANCIAL | TELEIOS FINANCIAL PARTNERS | REPPLE WEALTH MANAGEMENT | REPPLE WEALTH GROUP | MANGROVE FINANCIAL GROUP | KINGDOM FINANCIAL SERVICES | HORIZON FINANCIAL SOLUTIONS | HARVEST FINANCIAL | GVC INVESTMENTS | G. A. REPPLE & COMPANY | EXODUS FINANCIAL SERVICES | ENGWALL CLARK AND ASSOCIATES | ENGEDI FINANCIAL | DAN HARDT FINANCIAL SERVICES | COVENANT FINANCIAL MANAGEMENT | CHRISTIAN FAMILY FINANCIAL | BOB HOLBROOK INVESTMENT SERVICES | AVANTI WEALTH MANAGEMENT | ANSEVIN ASSET MANAGEMENT | ALICEA SERVICES | ALAN SIEGEL FINANCIAL SERVICES
CRD#: 17486 / SEC#: 801-63426, 8-35315
RIA
Registered Investment Advisory firm - SEC (9/16/2004 Approved)Arkansas
Registered Investment Advisory firm - SEC (9/23/2004 Terminated)California
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/17/2004 Terminated)Florida
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Kentucky
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Louisiana
Registered Investment Advisory firm - SEC (2/11/2005 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)South Carolina
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Tennessee
Registered Investment Advisory firm - SEC (12/17/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Washington
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
101 Normandy Rd, Casselberry, FL 32707
Mailing Address
101 Normandy Rd, Casselberry, FL 32707
Phone number
(407) 339-9090
Established
Florida since 11/05/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
68
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,349 |
| AUM (Assets Under Management) | $ 614,731,911 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
