John K. Tully
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.
John Keith Tully, who also goes by Keith Tully, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 4 firms and has passed the Series 63, SIE, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 1994 - April 5, 2018
GEORGE K. BAUM & COMPANY
March 8, 1990 - May 31, 1994
GKB, INC.
February 27, 1985 - July 24, 1989
KIRCHNER, MOORE & CO. OF KANSAS, INC.
March 17, 1983 - March 19, 1990
DBLKM INC.
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
GEORGE K. BAUM & COMPANY
CRD#: 36354 / SEC#: , 8-47195
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
