Adam Puller
Professional summary
Adam Puller is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Providence, Rhode Island.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2004. Adam has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam Puller's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 19, 2022 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 500 Exchange Street Suite 9-200, Providence, RI 02903-2630February 15, 2018 - May 17, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 2017 - May 17, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 2005 - January 28, 2008
FIDELITY BROKERAGE SERVICES LLC
August 9, 2004 - July 15, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/23/2023)
(5/19/2022)
(5/23/2022)
(5/24/2022)
(5/19/2022)
(5/19/2022)
Exams
FINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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Company Information
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878Providence, RI 02903-2630TRUST BUT VERIFY
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