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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Howard Pullen is a financial advisor with over 30 years of experience in the financial services industry. James is currently registered with Morgan Stanley and has been with the firm since June 2009. James holds the Series 63, 65 and 7 licenses as well as the SIE. Prior to joining Morgan Stanley, James was registered with CITIGROUP GLOBAL MARKETS INC. James has a broad range of experience serving clients in the financial planning, portfolio management, and investment advisory spaces. James is currently registered to provide financial advice and services in 44 states and the District of Columbia.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
04/15/2020 - Present
Morgan Stanley (Sarasota FL)
FL
10/30/1989 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SARASOTA FL)
IA
Issued 03/02/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/09/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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