John Pulliam Terminated by Raymond James Financial Services
John Pulliam (CRD #: 2224237) has been fired by Raymond James Financial Services. This disclosure appears on his BrokerCheck record, accessed on October 5, 2025. Keep reading if you have questions regarding his alleged conduct.
Employment Separation After Allegations
On September 10, 2025, Raymond James Financial Services fired John Pulliam following allegations that he engaged in conduct inconsistent with firm policies regarding outside business activities.
According to his detailed BrokerCheck record, John Pulliam has the following outside businesses:
- Pulliam Family Office Financial Planning
- Pulliam GP
Outside Business and Selling Away
FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval for any outside business.
Investor Disputes
There are two investor disputes on John Pulliam’s record. Both disputes were denied, but investors should know that firms can deny disputes without any external review. Investors can still recover losses following a denial.
Background Information
John Pulliam has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 3 National Commodity Futures Examination
- Series 7 General Securities Representative Examination
- Series 9 General Securities Sales Supervisor – Options Module Examination
- Series 10 General Securities Sales Supervisor – General Module Examination
He has registered with the following firms:
- Raymond James Financial Services (CRD #: 6694)
- UBS Financial Services (CRD #: 8174)
- Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
- CitiGroup Global Markets (CRD #: 7059)
Kurta Law Can Help
If you have worked with John Pulliam and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.