James S. Tumulty
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 Shannon Tumulty, who also goes by James Tumulty, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 15 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2015 - December 14, 2020
CALIBRE GROUP SECURITIES, LLC
March 12, 2015 - October 9, 2015
EIGHT PINES SECURITIES LLC
November 16, 2011 - March 13, 2015
SEAPORT GLOBAL SECURITIES LLC
August 26, 2004 - December 2, 2011
RAYMOND JAMES & ASSOCIATES, INC.
June 16, 2004 - August 23, 2004
MORGAN JOSEPH HIGH YIELD TRADING LLC
January 6, 2003 - August 23, 2004
MORGAN JOSEPH TRIARTISAN LLC
January 2, 2002 - January 2, 2003
LIBRA SECURITIES, LLC
December 22, 2000 - December 31, 2001
U.S. BANCORP INVESTMENTS, INC.
May 12, 1997 - November 29, 2000
UBS FINANCIAL SERVICES INC.
June 2, 1995 - January 16, 1997
SCOTIA CAPITAL (USA) INC.
December 2, 1992 - April 5, 1995
NATWEST SECURITIES CORPORATION
April 12, 1991 - March 31, 1993
COUNTY NATWEST GLOBAL SECURITIES LIMITED
April 9, 1990 - December 24, 1990
SANWA SECURITIES (USA) CO., L.P.
October 20, 1987 - March 14, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
July 25, 1987 - October 14, 1987
BNY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 7/1/2024
General Securities Representative ExaminationSeries 79TO
Date: 7/1/2024
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 7/1/2024
Securities Trader ExamSeries 55
Date: 3/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
CALIBRE GROUP SECURITIES, LLC
CRD#: 175370 / SEC#: , 8-69592
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALIBRE GROUP LLC | MEMBER | |
| COSTENBADER, WALTER RUSSELL | FINOP | 1828345 |
| SIEGEL, EDWARD ALLEN | EXECUTIVE REPRESENTATIVE, CCO, AML | |
| TUMULTY, JAMES SHANNON | PRESIDENT, CEO |
Red Flags
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