James Cullen has been Chief Compliance Officer of Forefront Wealth Partners since August 2026, is not listed as a control person, but directly owns under 5% of the firm.
Forefront Wealth Partners, LLC is an Austin, TX firm with $240M under management, 572 clients and 7 advisers across 6 offices, as of its September 2026 filing.
James Cullen’s longest registration was 3 years at Oak Grove (2014–2017).
- Quantumleap Wealth Management, LLC– · under a yearWildwood, MO · Adviser representative · Firm CRD 173585
- Oak Grove– · 3 yearsBarrington, RI · Adviser representative · Firm CRD 168907
- Roosevelt Investments– · 2 yearsProvidence, RI · Adviser representative · Firm CRD 107853
- Raymond James & Associates, Inc.– · 1 yearSt. Petersburg, FL · Adviser representative · Firm CRD 705
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 30 May 2008 |
| Series 24 | General Securities Principal Examination | 2 May 2008 |
| Series 7 | General Securities Representative Examination | 15 February 2008 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- James Michael Cullen
- CRD
- 5111669
- Firm
- Forefront Wealth Partners · CRD 308521
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does James Cullen work?
James Cullen has been Chief Compliance Officer of Forefront Wealth Partners, LLC since August 2026.
Does James Cullen have a current investment-adviser registration?
James Cullen has no current investment-adviser or broker registration.
What exams has James Cullen passed?
James Cullen has passed 3 licensing exams: the Series 7, Series 24 and Series 66. The earliest, the Series 7, was passed in February 2008.
Where was James Cullen previously registered as an investment adviser?
James Cullen has past investment-adviser registrations through Quantumleap Wealth Management, LLC, November 2014 to January 2015; Oak Grove, January 2014 to March 2017; Roosevelt Investments, October 2010 to September 2013; Raymond James & Associates, Inc., June 2008 to July 2009, across 4 firms.
Is James Cullen registered with FINRA?
No. James Cullen has no current broker registration.
How can I verify James Cullen’s record?
Search CRD 5111669 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Cullen’s full registration record.
