AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JT

James S. Tumulty

SEAPORT GLOBAL SECURITIES
West Palm Beach, FL 33401
Some features on this profile are disabled
CRD#: 1566929
JT

Professional summary

James Shannon Tumulty, who also goes by James Tumulty, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in West Palm Beach, Florida.

James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has 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

Are you a "fiduciary"?
No

Aliases

James 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 James Shannon 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

November 18, 2025 - Present

SEAPORT GLOBAL SECURITIES LLC

Office #1: 222 Clematis St Suite 200, West Palm Beach, FL 33401
BD
CRD#: 116270
West Palm Beach, FL
Past

September 8, 2015 - December 14, 2020

CALIBRE GROUP SECURITIES, LLC

BD
CRD#: 175370
Pittsburgh, PA
Past

March 12, 2015 - October 9, 2015

EIGHT PINES SECURITIES LLC

BD
CRD#: 153794
HOUSTON, TX
Past

November 16, 2011 - March 13, 2015

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
RED BANK, NJ
Past

August 26, 2004 - December 2, 2011

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
RED BANK, NJ
Past

June 16, 2004 - August 23, 2004

MORGAN JOSEPH HIGH YIELD TRADING LLC

BD
CRD#: 130000
NEW YORK, NY
Past

January 6, 2003 - August 23, 2004

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
WHITE PLAINS, NY
Past

January 2, 2002 - January 2, 2003

LIBRA SECURITIES, LLC

BD
CRD#: 104161
LOS ANGELES, CA
Past

December 22, 2000 - December 31, 2001

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT PAUL, MN
Past

May 12, 1997 - November 29, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 2, 1995 - January 16, 1997

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

December 2, 1992 - April 5, 1995

NATWEST SECURITIES CORPORATION

BD
CRD#: 18238
NEW YORK, NY
Past

April 12, 1991 - March 31, 1993

COUNTY NATWEST GLOBAL SECURITIES LIMITED

BD
CRD#: 16212
Past

April 9, 1990 - December 24, 1990

SANWA SECURITIES (USA) CO., L.P.

BD
CRD#: 19697
NEW YORK, NY
Past

October 20, 1987 - March 14, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

July 25, 1987 - October 14, 1987

BNY SECURITIES, INC.

BD
CRD#: 19712

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
Colorado
(11/19/2025)
RR
Connecticut
(11/19/2025)
RR
Florida
(11/18/2025)
RR
Maryland
(11/19/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/11/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/1/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/1/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 7/1/2024
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/24/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/17/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/1/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SG
SEAPORT GLOBAL SECURITIES LLC
PERICLES CAPITAL | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC

CRD#: 116270 / SEC#: , 8-53535

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 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#
SEAPORT GLOBAL HOLDINGS LLCPARENT COMPANY
MEAGHER, MICHAEL JEFFERSONCEO1755168
MEYER, MICHAEL JOHNFIXED INCOME TRADING SUPERVISOR1746788
SMITH, STEPHEN CORCORANTREASURER1248750
WITTHAUT, MARKUS CLEMENSFINOP/CCO/CFO/PFO4480831

Disclosures

Regulatory Event3

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

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270West Palm Beach, FL 33401

TRUST BUT VERIFY

Monitor James Tumulty

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Robert Burns
Robert BurnsAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
IAR
RR
Palm Beach Gardens, FL
Spencer Carpenter Iv
Spencer Carpenter IvAdvisorCheck Check Mark
TRUIST ADVISORY SERVICES, INC.
IAR
RR
WEST PALM BEACH, FL
Benjamin Jay Silberman
Benjamin SilbermanAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Palm Beach Gardens, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.