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TC

Thomas C. Cullum

LAKE STREET CAPITAL MARKETS
MINNEAPOLIS, MN 55402
Some features on this profile are disabled
CRD#: 1694901
TC

Professional summary

Thomas Charles Cullum JR is a registered financial professional currently at LAKE STREET CAPITAL MARKETS, LLC located in Minneapolis, Minnesota.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Thomas Charles Cullum JR'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 30, 2012 - Present

LAKE STREET CAPITAL MARKETS, LLC

Office #1: 121 South 8th Street Suite 1000, Minneapolis, MN 55402Office #2: 121 South 8th Street Suite 1000, Minneapolis, MN 55402
BD
CRD#: 164447
MINNEAPOLIS, MN
Past

April 23, 2007 - May 7, 2012

CRAIG-HALLUM CAPITAL GROUP LLC

BD
CRD#: 121395
MINNEAPOLIS, MN
Past

February 7, 2003 - April 17, 2007

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
MINNETONKA, MN
Past

April 6, 1998 - February 7, 2003

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

March 4, 1992 - April 6, 1998

WESSELS, ARNOLD & HENDERSON, L.L.C.

BD
CRD#: 17914
MINNEAPOLIS, MN
Past

September 13, 1989 - March 17, 1992

BESSEMER INVESTOR SERVICES, INC.

BD
CRD#: 17442
NEW YORK, NY
Past

October 5, 1987 - August 9, 1989

DUNLEVY & CO., INCORPORATED

BD
CRD#: 7696
NEW YORK, NY

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
Arkansas
(10/16/2018)
RR
California
(1/3/2013)
RR
Colorado
(12/13/2012)
RR
Connecticut
(1/2/2013)
RR
Delaware
(10/23/2015)
RR
Florida
(9/23/2019)
RR
Georgia
(8/14/2020)
RR
Illinois
(1/2/2013)
RR
Maryland
(11/20/2019)
RR
Massachusetts
(1/2/2013)
RR
Michigan
(10/21/2015)
RR
Minnesota
(12/7/2012)
RR
New Hampshire
(5/11/2020)
RR
New Jersey
(1/3/2013)
RR
New York
(12/20/2012)
RR
North Dakota
(12/10/2012)
RR
Ohio
(1/31/2024)
RR
Oklahoma
(6/5/2020)
RR
Oregon
(4/30/2021)
RR
Pennsylvania
(9/26/2013)
RR
Texas
(1/3/2013)
RR
Utah
(10/27/2015)
RR
Washington
(12/17/2019)
RR
Wisconsin
(10/27/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/1987
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
Series 57TO
Date: 1/2/2023
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: 7/7/2012
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/26/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

LS
LAKE STREET CAPITAL MARKETS, LLC
LAKE STREET CAPITAL MARKETS, LLC

CRD#: 164447 / SEC#: , 8-69101

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

Main Address
121 South 8th Street Suite 1000, Minneapolis, MN 55402
Mailing Address
121 South 8th Street Suite 1000, Minneapolis, MN 55402
Phone number
(612) 326-1305
Established
Minnesota since 05/07/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 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#
LAKE STREET HOLDINGS, LLCDIRECT OWNER
ARGENTO, MARK NICHOLASPRESIDENT/DIR2732498
BROWN, ROBERT DUNCANDIR4297681
CULLUM, THOMAS CHARLES JREXECUTIVE CHAIRMAN/DIR1694901
MARTINUZZI, ERICCOO/DIR4142535
MCNAMEE, PAUL ANDREWCCO/FINOP/CFO6788820
TOWNLEY, MICHAEL PRESTONCEO/DIR3112485

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

LAKE STREET CAPITAL MARKETS, LLC

CRD#: 164447Minneapolis, MN 55402

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