Thomas P. Tuttle

SUNSTREET SECURITIES

Avondale, AZ 85392

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CRD#: 1014459

Professional summary

Thomas Porter Tuttle, who also goes by Tom Tuttle, is a registered financial professional currently at SUNSTREET SECURITIES, LLC located in Avondale, Arizona.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1981. Thomas has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Tuttle

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Porter Tuttle's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 24, 2014 - Present

SUNSTREET SECURITIES, LLC

Office #1: 10320 W. Mcdowell Rd Bldg F, Suite 6018, Avondale, AZ 85392

RIA

CRD#: 143211

Avondale, AZ

Past

January 17, 2013 - December 19, 2013

IBN FINANCIAL SERVICES, INC.

CRD#: 42360

LIVERPOOL, NY

Past

December 24, 2008 - December 31, 2012

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DEWITT, NY

Past

May 19, 2005 - December 31, 2008

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LIVERPOOL, NY

Past

June 25, 2001 - February 4, 2005

PINNACLE INVESTMENTS, INC.

CRD#: 40686

EAST SYRACUSE, NY

Past

November 17, 1997 - June 27, 2001

LEIGH BALDWIN & CO., LLC

CRD#: 38751

CAZENOVIA, NY

Past

January 2, 1996 - October 27, 1997

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

VICTOR, NY

Past

February 2, 1995 - December 31, 1995

MAIN STREET MANAGEMENT COMPANY

CRD#: 547

BOSTON, MA

Past

January 5, 1990 - February 13, 1995

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

September 10, 1987 - February 18, 1988

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

Past

October 31, 1981 - February 9, 1988

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(3/13/2015)

New York
(3/5/2014)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/28/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/12/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 10/5/1987

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/22/1981

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SUNSTREET SECURITIES, LLC

CRD#: 143211 / SEC#: , 8-67541

Delaware

Registered Investment Advisory firm - SEC (12/31/2016 Terminated)

Nevada

Registered Investment Advisory firm - SEC (11/20/2007 Approved)

New Jersey

Registered Investment Advisory firm - SEC (8/23/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/4/2018 Conditional Restricted)

Washington

Registered Investment Advisory firm - SEC (12/31/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

10320 W. Mcdowell Rd Bldg F, Suite 6018, Avondale, AZ 85392

Mailing Address

10320 W. Mcdowell Rd Bldg F, Suite 6018, Avondale, AZ 85392

Phone number

(800) 823-1822

Established

Arizona since 01/04/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (38 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HADDAD, MUNIB SAID	CEO/CCO/CFO/FINOP/ROSFP/MANAGING MEMBER	2610231

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 5,900,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas P. Tuttle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Porter Tuttle's CRS (Customer Relationship Summary).

Certified licenses

Experience

IBN FINANCIAL SERVICES, INC.

AVANTAX INVESTMENT SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

PINNACLE INVESTMENTS, INC.

LEIGH BALDWIN & CO., LLC

WALL STREET FINANCIAL GROUP, INC.

MAIN STREET MANAGEMENT COMPANY

LOCUST STREET SECURITIES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/2011

Series 63

Date: 10/12/1987

SIE

Date: 10/1/2018

Series 22

Date: 10/5/1987

Series 6

Date: 10/22/1981

FINRA

Current Firm

SUNSTREET SECURITIES, LLC

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

SUNSTREET SECURITIES, LLC

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