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Michael Clayton Fullington

Fullington & Associates, LLC

Lake Charles, LA

CRD 3150612

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Employer firm

Fullington & Associates, LLC CRD 130764

$13.3M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Fullington & Associates, Llc

Lake Charles, LA • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-02-03
LA RA APPROVED 2010-12-16
  • TX RA
    APPROVED_RES
    Since 2011-02-03
  • LA RA
    APPROVED
    Since 2010-12-16

Branch Locations

Lake Charles, LA • 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
Fullington & Associates, Llc Lake Charles LA 08/2004 Present
Previous Registrations
  • 2002-12-20 → 2004-03-31
    Securities America Advisors, Inc.
    Lake Charles, LA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-11-12
S63 Uniform Securities Agent State Law Examination 2001-02-10
  • S65 Uniform Investment Adviser Law Examination
    2008-11-12
  • S63 Uniform Securities Agent State Law Examination
    2001-02-10

View on SEC IAPD

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