Louis C. Tumolo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Louis Carmen Tumolo Jr., who also goes by Louis Carmen Tumolo, Louis Tumolo, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1982. Louis had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2019 - November 9, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 22, 2019 - November 9, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 12, 2012 - November 14, 2017
TOUCHSTONE SECURITIES, INC.
February 14, 2007 - March 2, 2012
ALLIANZ LIFE FINANCIAL SERVICES, LLC
March 3, 2006 - February 13, 2007
AUGUSTAR DISTRIBUTORS, INC.
July 2, 2001 - February 21, 2006
IDS LIFE INSURANCE COMPANY
July 2, 2001 - February 21, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
December 5, 2000 - June 18, 2001
TRANSAMERICA CAPITAL, LLC
June 23, 2000 - December 12, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 16, 2000 - April 20, 2000
CITIGROUP GLOBAL MARKETS INC.
March 12, 1997 - December 31, 1999
TOWER SQUARE SECURITIES, INC.
March 15, 1993 - March 15, 1995
WS GRIFFITH SECURITIES, INC.
September 7, 1991 - March 15, 1993
VP DISTRIBUTORS LLC
May 14, 1990 - April 22, 1991
NSR DISTRIBUTORS, INC.
June 18, 1987 - May 20, 1988
GLOBAL ATLANTIC DISTRIBUTORS, LLC
October 26, 1982 - April 14, 1987
THE GREAT-WEST LIFE ASSURANCE COMPANY
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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