James J. Tuzzeo
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.
James Joseph Tuzzeo, who also goes by James Tuzzeo, Jim Tuzzeo, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2009 - November 6, 2020
AVALON INVESTMENT & SECURITIES GROUP, INC.
June 7, 2007 - December 31, 2008
THE O.N. EQUITY SALES COMPANY
July 2, 2003 - June 15, 2007
AMERITAS INVESTMENT COMPANY, LLC
November 13, 2002 - July 3, 2003
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 1, 1988 - May 5, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 6, 1986 - September 26, 1988
PRUCO SECURITIES, LLC.
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
AVALON INVESTMENT & SECURITIES GROUP, INC.
CRD#: 6281 / SEC#: , 8-17078
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
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.
