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Max Pulley Terminated by Northwestern Mutual

Max Pulley (CRD #: 7127802) was fired by Northwestern Mutual Investment Services following allegations. This disclosure appears on his BrokerCheck record, accessed on November 13, 2023. Investors may also have engaged his services through Synergy Wealth Solutions. 

On September 25, 2023, Northwestern Mutual Investment Services fired Max Pulley while under internal review for signing fixed insurance policy application documents on behalf of clients. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Signing customer signatures to applications may violate this rule. 

Background Information 

Max Pulley has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 6TO Investment Company Products/Variable Contracts Representative Examination 
  • SIE – Securities Industry Essentials Examination 

Kurta Law Can Help

If you worked with Max Pulley and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

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