Arturo Pulido

NAVY FEDERAL INVESTMENT SERVICES

San Diego, CA 92131

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CRD#: 6896826

Professional summary

Arturo Pulido is a registered financial professional currently at NAVY FEDERAL INVESTMENT SERVICES, LLC located in San Diego, California.

Arturo is registered as a RR (Registered Representative) and started their career in finance in 2018. Arturo has worked at 3 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Arturo Pulido'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

May 9, 2022 - Present

NAVY FEDERAL INVESTMENT SERVICES, LLC

Office #1: 9999 Willow Creek Road, San Diego, CA 92131

RIA

CRD#: 138459

San Diego, CA

Past

March 4, 2021 - May 3, 2022

TD AMERITRADE CLEARING, INC.

CRD#: 5633

OMAHA, NE

Past

April 4, 2019 - July 27, 2020

TD AMERITRADE CLEARING, INC.

CRD#: 5633

OMAHA, NE

Past

February 7, 2018 - May 3, 2022

TD AMERITRADE, INC.

CRD#: 7870

SAN DIEGO, CA

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".

NAVY FEDERAL INVESTMENT SERVICES, LLC

NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA

Registered Investment Advisory firm - SEC (6/21/2007 Approved)

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

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

California
(5/9/2022)

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

Series 63

Date: 2/13/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/13/2023

Municipal Securities Representative 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 7

Date: 2/6/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/15/2023

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/17/2020

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/11/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NAVY FEDERAL INVESTMENT SERVICES, LLC

NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA

Registered Investment Advisory firm - SEC (6/21/2007 Approved)

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

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Contact information

Main Address

1007 Electric Ave, Vienna, VA 22180

Mailing Address

1007 Electric Ave, Vienna, VA 22180

Phone number

(877) 221-8108

Established

Virginia since 09/06/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

176

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NFIS 2A DISCLOSURE BROCHURE (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
NAVY FEDERAL FINANCIAL GROUP	OWNER
ROSSON, TIMOTHY DAVID	FINOP / PRINCIPAL FINANACIAL OFFICER	7152744
WEISBERG, STEVEN LESLIE	CHIEF COMPLIANCE OFFICER / VP COMPLIANCE, LEGAL & RISK & OPERATIONS	6268061
YOUNG, DIANE	CHIEF OPERATING OFFICER	3098010

Regulatory assets under management

Total Number of Accounts	7,472
AUM (Assets Under Management)	$ 1,713,608,579

Red Flags

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

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Arturo Pulido

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Arturo Pulido's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD AMERITRADE CLEARING, INC.

TD AMERITRADE CLEARING, INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

NAVY FEDERAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/13/2018

Series 52TO

Date: 1/13/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/6/2018

Series 53

Date: 3/15/2023

Series 4

Date: 7/17/2020

Series 24

Date: 3/11/2019

FINRA

Current Firm

NAVY FEDERAL INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

NAVY FEDERAL INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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