Thomas E. Bullock
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.
Thomas Edward Bullock was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2013 - July 3, 2017
FELTL ADVISORS
June 4, 2002 - January 7, 2015
FELTL & COMPANY
October 27, 1998 - June 5, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
June 18, 1996 - October 21, 1998
JOHN G. KINNARD AND COMPANY, INCORPORATED
May 4, 1990 - June 23, 1992
COLLIERS SECURITIES LLC
January 18, 1988 - May 15, 1990
HEINER FINANCIAL SERVICES CORPORATION
March 22, 1984 - October 4, 1989
HEINER & STOCK, INC.
Primary Firm SEC Registration
FELTL ADVISORS
CRD#: 165244 / SEC#: 801-77347
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
FELTL ADVISORS
CRD#: 165244 / SEC#: 801-77347
Contact information
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 523 |
| AUM (Assets Under Management) | $ 132,417,421 |
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.
