Established in 1996, Puplava Securities, Inc. is an independent broker/dealer offering full brokerage services through National Financial Services LLC, a Fidelity Investments company.
Puplava Securities, Inc
Professionally Managed Investments
for the Wise Investor
Puplava Securities, Inc. (PSI), a registered broker/dealer and member FINRA/SIPC, is wholly-owned by Puplava Financial Services, Inc (PFS), a registered investment advisor. James J. Puplava is president of both PSI and PFS and oversees the Management Team’s interaction with PSI’s clients and their execution of his investment strategies.
Puplava Securities, Inc. and Puplava Financial Services, Inc. are licensed to operate in many of the 50+ US states and protectorates. However, clients should be advised that, generally speaking, PFS and PSI are prohibited from opening accounts for persons residing in states where we are not registered to do business as a broker/dealer (See Important Consumer Information below).
We welcome investment from international clients. However, we are required to abide by US federal regulations regarding our ability to open accounts for clients who are either residing in, or who are citizens of, countries with which US entities are prohibited from doing business.
IMPORTANT CONSUMER INFORMATION
1) A Broker/Dealer (B/D), Investment Advisor (IA), B/D agent or IA rep may only transact business in a particular state after licensure or satisfying qualifications, requirements of that state, or only if they are excluded or exempted from the state's broker-dealer, investment advisor, B/D agent or IA rep requirements, as the case may be; and
2) Follow-up, individualized responses to consumers in a particular state by broker/dealer, investment adviser, B/D agent or IA rep that involve either the effecting or attempting to effect transactions in securities or the rendering of personalized investment advice for compensation, as the case may be, shall not be made without first complying with the state's broker/dealer, investment advisor, B/D agent or IA rep requirements, or pursuant to an applicable state exemption or exclusion.
3) For information concerning the licensure status or disciplinary history of a B/D, IA, B/D agent or IA rep, a consumer should contact his or her state securities law administrator.
INVEST WITH US
If you are interested in opening an account, please complete our Invest with Us inquiry form or call us directly at (888) 486-3939 or (858) 487-3939.