James Bates Pugh

Current Employers

Employment History

• 03/2018 → 03/2019
  Northwestern Mutual Investment Services, Llc
  Auburn, AL
• 07/2012 → 03/2019
  Pugh Engineering Services Llc
  Cullman, AL
• 03/2019 → 03/2020
  Allstate Financial Services, Llc
  Auburn, AL
• 03/2020 → 03/2021
  Mml Investors Services, Llc
  Atlanta, GA
• 03/2021 → 09/2021
  Bundy Group Securities, Llc
  Charlotte, NC
• 10/2021 → 03/2024
  Finalis Securities Llc
  Corte Madera, CA
• 03/2024 → 10/2024
  Stirlingshire Investments
  Nyc, NY
• 09/2021 → Present
  Pivot Capital, Llc
  Chicago, IL
• 04/2025 → Present
  Pivot Capital Partners, Llc
  Chicago, IL

Other Businesses

(1) Pivot Capital Partners Consulting LLC; Investment related; 161 North Clark Street, Chicago, IL 60601; Partner; 10 hours during trading hours; Provides exit advisory services (2) RPJ Financial LLC; Not investment related; 161 North Clark Street, Chicago, IL 60601; Holding Company; Partner; 07/06/2023; 20 hours during trading hours; Management and Oversight of Subsidiary Operating Companies. (3) PTF Group LLC; investment related; 161 North Clark Street, Suite 1600, Chicago, IL 60601; Management Group of Investment Related Subsidiaries on behalf of RPJ Financial (Holding Company); Managing Member; 07/17/2023; 10 hours per month during trading hours; 50% Shareholder of PTF Group LLC (4) Pivot Capital, LLC - Investment Related - Partner - sourcing and selling suitable private investment offerings to qualified investors - Approx 160 hours/month (5) PTF Global, LLC - Not Investment Related - Manager - Direct Investment Vehicle Under PTF Group, LLC. Investment into a future Buy/Sell Trade Contract. currently zero hours/month

Exams

• S65 Uniform Investment Adviser Law Examination
  2025-04-16
• S63 Uniform Securities Agent State Law Examination
  2019-01-05

Other Names

• James Bates Pugh
• Jameson Bates Pugh
• Jameson Pugh
• James Bates Pugh
• James Bates Pugh
• James Bates Jr Pugh