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Adam Puller

Mutual OF America Securities LLC

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About Adam Puller

Adam Puller is a financial advisor with over 17 years of experience in the financial services industry. Adam is currently registered with Mutual of America Securities LLC and has previously held positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Company, Inc. Adam holds the Series 6, 7, 9, 10, 63, and 66 licenses. He is also registered in Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island and Vermont. Adam is committed to providing his clients with personalized financial advice and guidance.

Firm Information

Adam Puller is currently registered with Mutual OF America Securities LLC. Mutual OF America Securities LLC is a Limited Liability Company formed on June 29, 1990. The firm is registered in all 50 states and the District of Columbia, as well as with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

346

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Adam Puller’s Registration & Firm History

RI

05/19/2022 - Present

Mutual OF America Securities LLC (Providence RI)

RI

12/01/2017 - 05/17/2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LINCOLN RI)

MA

07/08/2005 - 01/28/2008

FIDELITY BROKERAGE SERVICES LLC (MARLBOROUGH MA)

RI

08/09/2004 - 07/15/2005

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

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Licenses & Designations

BOTH

Issued 01/31/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/30/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/15/2020

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/28/2020

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/01/2017

Series 7 - General Securities Representative Examination

BC

Issued 08/05/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Adam Puller. Review regulatory record here.
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