Dominic Fullerton

INVISOR

Seneca, KS 66538

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CRD#: 7631094

Professional summary

Dominic Fullerton is a registered financial advisor currently at INVISOR located in Seneca, Kansas.

Dominic is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Dominic has worked at 2 firms and has passed the Series 65, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

SALES OF INVESTMENT-RELATED PRODUCTS, PART-TIME OR FULL TIME, FOR COMPANIES AFFILIATED WITH PFS INVESTMENTS INC. I MAY ALSO RECEIVE NON-INVESTMENT RELATED COMPENSATION FROM PRIMERICA MORTGAGE, LLC FOR THE SALE OF LOAN PRODUCTS AND/OR PRIMERICA CLIENT SERVICES, INC. (A CO-LOCATED AFFILIATE OF PFS INVESTMENTS INC.) FOR PART-TIME REFERRALS OF HOME SECURITY AND AUTOMATION PRODUCTS, AS WELL AS OTHER HOME RELATED SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominic Fullerton'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

November 9, 2023 - Present

INVISOR

Office #1: 225 Main Street Suite 100, Seneca, KS 66538

RIA

CRD#: 174890

Seneca, KS

Past

April 13, 2023 - August 8, 2023

PFS INVESTMENTS INC.

CRD#: 10111

OVERLAND PARK, KS

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".

INVISOR

INVISOR | INVISOR FINANCIAL LLC

CRD#: 174890 / SEC#: 801-131874

RIA

Registered Investment Advisory firm - (1/23/2025 Approved)

Kansas

Registered Investment Advisory firm - (1/24/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Kansas
(11/9/2023)

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

IAR

Series 65

Date: 11/3/2023

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 3/18/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 6/18/2022

Securities Industry Essentials Examination

Current Firm

INVISOR

INVISOR | INVISOR FINANCIAL LLC

CRD#: 174890 / SEC#: 801-131874

RIA

Registered Investment Advisory firm - (1/23/2025 Approved)

Kansas

Registered Investment Advisory firm - (1/24/2025 Terminated)

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Contact information

Main Address

225 Main Street Suite 100, Seneca, KS 66538

Mailing Address

Phone number

(785) 334-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVISOR FORM ADV PART 2A (12/24/2024)

Regulatory assets under management

Total Number of Accounts	235
AUM (Assets Under Management)	$ 167,253,419

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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Dominic Fullerton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominic Fullerton's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVISOR

PFS INVESTMENTS INC.

Primary Firm SEC Registration

INVISOR

State Registrations and Notice Filings

Exams

Series 65

Date: 11/3/2023

Series 6TO

Date: 3/18/2023

SIE

Date: 6/18/2022

Current Firm

INVISOR

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVISOR

TRUST BUT VERIFY

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