John Pulliam: Why Did Raymond James Fire Leaders Group Advisor?

Summit, New Jersey financial advisor John Pulliam (CRD# 2224237) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Raymond James Financial Services representative is currently registered as a broker with The Leaders Group.

Mr. Pulliam’s BrokerCheck report discloses his termination from Raymond James Financial Services. Filed in September 2025, it states that the firm fired him in connection with allegations that he “engaged in conduct inconsistent with firm policies on outside business activities.”

A second disclosure on his BrokerCheck report concerns an investor complaint against him. Filed in 2003, it alleged that as a Citigroup Global Markets representative, he misrepresented an annuity investment. The complaint alleged unspecified damages and was denied by the firm.

An earlier investor complaint, filed in 2003, alleged that as a Smith Barney representative, he misrepresented the customer’s account value and failed to follow instructions to liquidate the account. The complaint alleged damages of more than $6,000 and was denied by the firm.

According to the Financial Industry Regulatory Authority, John Pulliam holds 32 years of securities industry experience. Based in Summit, New Jersey, he has been registered as a broker with The Leaders Group since December 2025. His past registrations include Raymond James Financial Services, UBS Financial Services, Merrill Lynch, and Citigroup Global Markets. His credentials include the passage of seven securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Representative Examination, or Series 7; and the National Commodity Futures Examination, or Series 3. He is not currently licensed with any US state. (Information current as of December 6, 2025.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.