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James Michael Pulling

LPl Enterprise, LLC

Erie, PA

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Current Employers
Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-03-23
PA RA APPROVED 2024-11-14
  • TX RA
    APPROVED
    Since 2026-03-23
  • PA RA
    APPROVED
    Since 2024-11-14

Branch Locations

2950 W 12Th St Ste 30 Suite 30, Erie, PA 16505 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities, Llc. Pittsburgh PA 06/2000 11/2024
Lpl Enterprise, Llc Erie PA 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-12-26
S63 Uniform Securities Agent State Law Examination 2000-06-21
  • S65 Uniform Investment Adviser Law Examination
    2001-12-26
  • S63 Uniform Securities Agent State Law Examination
    2000-06-21
Designations

View on SEC IAPD

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