Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Pulling is an investment advisor representative at Pruco Securities, LLC. James has been in the industry since June 16, 2000. James holds Series 6, 7, 63, and 65 licenses, as well as the SIE license. James has been registered with the state of Pennsylvania since June 26, 2000. James is also registered with the state of California, Florida, Maryland, Michigan, New York, North Carolina, Ohio, Tennessee, and Virginia. James has been registered with Pruco Securities, LLC since August 24, 2011. James is a Chartered Financial Consultant. James is currently the executor of his mother's estate.
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.
Helps you choose top advisors aligned with your financial goals.
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.
Compensation from lpl enterprise, llc
1
2
PA
08/24/2011 - Present
Pruco Securities, LLC (ERIE PA)
IA
Issued 12/26/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/21/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/26/2003
Series 7 - General Securities Representative Examination
BC
Issued 06/15/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure James Pulling is the right advisor for you? Invested Better is here to help.
