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MT

Michael J. Tumulty

VELOCITY CLEARING
HAZLET, NJ 07730
Some features on this profile are disabled
CRD#: 1217793
MT

Professional summary

Michael James Tumulty, who also goes by Michael J Tumulty, is a registered financial professional currently at VELOCITY CLEARING, LLC located in Hazlet, New Jersey.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael J Tumulty

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 Michael James Tumulty'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

October 31, 2022 - Present

VELOCITY CLEARING, LLC

Office #1: 1301 Route 36 Suite 103, Hazlet, NJ 07730
BD
CRD#: 126588
HAZLET, NJ
Past

November 9, 2020 - October 14, 2022

ELECTRONIC TRANSACTION CLEARING, INC.

BD
CRD#: 146122
DALLAS, TX
Past

June 22, 2017 - October 14, 2022

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

August 7, 2014 - February 25, 2016

COWEN PRIME SERVICES LLC

BD
CRD#: 153397
NEW YORK, NY
Past

February 4, 2010 - August 7, 2014

FM PARTNERS HOLDINGS LLC

BD
CRD#: 134736
NEW YORK, NY
Past

March 30, 2009 - October 2, 2009

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
NEW YORK, NY
Past

October 9, 2008 - November 14, 2008

WELLS FARGO PRIME SERVICES, LLC

BD
CRD#: 133068
NEW YORK, NY
Past

April 6, 2005 - January 3, 2008

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

BD
CRD#: 16139
NEW YORK, NY
Past

December 3, 2003 - January 3, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 5, 1986 - September 19, 2003

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 18, 1985 - February 18, 1986

PERSHING LLC

BD
CRD#: 7560

State Registrations and Notice Filings

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

RR
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

RR
New Jersey
(10/31/2022)
RR
New York
(10/31/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/2/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/17/2012
Registered Options Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

VC
VELOCITY CLEARING, LLC
GUARDIAN TRADING | VELOCITY PRIME SERVICES | VELOCITY EXECUTION SERVICES | VELOCITY CLEARING, LLC | QUANTEX CLEARING, LLC | NYFIX SECURITIES LLC | NYFIX SECURITIES CORPORATION | NYFIX CLEARING CORPORATION

CRD#: 126588 / SEC#: , 8-65894

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
1301 Route 36 Suite 103, Hazlet, NJ 07730
Mailing Address
1301 Route 36 Suite 103, Hazlet, NJ 07730
Phone number
(201) 706-7157
Established
Delaware since 06/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VCT HOLDINGS, LLCSOLE MEMBER
BRACERO, FRANK WILLIAMCHIEF FINANCIAL OFFICER/FINOP2178318
CALICE, ROBERT PEERCHIEF OPERATIONS OFFICER2759949
CRAWFORD, LAURA LYNNCHIEF COMPLIANCE OFFICER2666224
LOGAN, MICHAEL JAMESCHIEF EXECUTIVE OFFICER5763098
SCHAEFFER, BRIAN KEITHPRESIDENT3063403

Disclosures

Regulatory Event19

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.

Company Information

VELOCITY CLEARING, LLC

CRD#: 126588Hazlet, NJ 07730

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