Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Maurice Pulliam is a financial advisor who has been in the industry since 1996. David is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. David has previously been registered with Morgan Stanley DW Inc., Charles Schwab & Co., Inc., American Municipal Securities, Inc., Equico Securities, Inc., The Equitable Life Assurance Society of the United States, and Waddell & Reed, Inc. David holds the Series 6, 7, 31, 63, and 65 licenses and the SIE exam. David is registered with the state of Nevada and is a resident of Texas. David specializes in portfolio management for individuals and businesses, as well as pension consulting and educational seminars. David's firm manages assets in excess of $1 trillion.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NV
08/05/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LAS VEGAS NV)
NV
06/13/2002 - 08/08/2006
MORGAN STANLEY DW INC. (LAS VEGAS NV)
TX
03/21/1997 - 01/10/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
FL
10/30/1995 - 08/29/1996
AMERICAN MUNICIPAL SECURITIES, INC. (ST. PETERSBURG FL)
NY
03/02/1995 - 05/18/1995
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
03/02/1995 - 05/18/1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
KS
11/03/1993 - 04/04/1994
WADDELL & REED, INC. (OVERLAND PARK KS)
IA
Issued 07/29/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 10/27/1995
Series 7 - General Securities Representative Examination
BC
Issued 11/02/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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