AdFi
JM

John Michael Pulliam

Investment Adviser Representative at PULLIAM FAMILY OFFICE, LLC

Crested Butte, COCRD #2224237Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
33 yrs
States Registered
7 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 7 states
ArizonaCaliforniaColoradoMaineNew JerseyOklahomaTexas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 11/20/1995
Series 63
Uniform Securities Agent State Law Examination
Passed 4/10/1992
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 1/29/1996
Series 7
General Securities Representative Examination
Passed 4/6/1992
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 11/6/2006
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 10/17/2006

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.015
Source

Pulliam Family Office, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

PULLIAM FAMILY OFFICE, LLCCurrent
4/2/2026 – Crested Butte, CO
THE LEADERS GROUP, INC.Current
12/1/2025 – Crested Butte, CO
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
9/16/2019 – 9/15/2025Crested Blutte, CO
UBS FINANCIAL SERVICES INC.
11/29/2011 – 9/24/2019Plano, TX
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
9/13/2019 – 9/13/2019Crested Blutte, CO
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
5/12/2006 – 12/9/2011Plano, TX
CITIGROUP GLOBAL MARKETS INC.
3/8/1994 – 5/22/2006Plano, TX

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at PULLIAM FAMILY OFFICE, LLC

1 other advisor in the directory

Jonathan Frank Woodward
Investment Adviser Representative
Dual-registered
View PULLIAM FAMILY OFFICE, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Michael Pulliam has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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