Jody Pullium (CRD#: 3272304), an Illinois-based broker, has been suspended by the Financial Industry Regulatory Authority (FINRA) after he failed to respond to FINRA’s request for information, according to his BrokerCheck record accessed on May 5, 2020. 
Jody Pullium
On February 25, 2020, Jody Pullium entered into an Acceptance, Waiver, and Consent (AWC) agreement with the Financial Industry Regulatory Authority (FINRA) in which he consented to an indefinite suspension. What happened? FINRA suspended Jody Pullium after he failed to respond to FINRA’s request for information. The suspension began on March 20, 2020 and will continue indefinitely until he provides the required information to FINRA or until the suspension converts to a bar. 
Jody Pullium’s suspension is not the only disclosure listed on his BrokerCheck record. On November 8, 2019, Allstate Financial Services LLC terminated Jody Pullium after he paid customers directly for an annuity product that was not registered with the firm. When brokers sell securities that are not approved by their member firms, they engage in “selling away.” Selling away is a violation of FINRA rules as well as federal securities laws. Selling away could lead to significant losses for customers because these products have not gone through a vetting process with the firm. 
Jody Pullium has passed the Series 66 – Uniform Combined State Law Examination, the Series 63 – Uniform Securities Agent State Law Examination, the SIE – Securities Industry Essentials Examination, and the Series 7 – General Securities Representative Examination.
Over his 19 years in the securities industry, Jody Pullium has worked for eight broker-dealers:

  • Allstate Financial Services LLC (CRD#: 18272)
  • PNC Investments (CRD#: 129052)
  • Chase Investment Services Corp. (CRD#: 25574)
  • PNC Investments (CRD#: 129052)
  • NatCity Investments (CRD#: 17490)
  • Associated Investment Services, Inc. (CRD#: 1464)
  • Edward Jones (CRD#: 250)

If Jody Pullium was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta to learn about your options for recovery. Call (877) 238-4175 or email info@fkesq.com for your free case consultation with a securities attorney.