Todd A. Tumbleson
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.
Todd Allen Tumbleson, who also goes by Todd Tumbleson, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1987. Todd had worked at 8 firms and has passed the Series 63, SIE, 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
May 26, 2004 - December 31, 2015
GREAT AMERICAN INVESTORS, INC.
December 5, 2001 - June 2, 2004
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 22, 1999 - October 26, 2001
HOAK BREEDLOVE WESNESKI & CO.
May 31, 1994 - September 20, 1999
GEORGE K. BAUM & COMPANY
March 11, 1992 - May 31, 1994
GKB, INC.
July 24, 1989 - March 16, 1992
PRUDENTIAL EQUITY GROUP, LLC
February 5, 1988 - July 29, 1989
RODMAN & RENSHAW INC.
August 20, 1987 - February 10, 1988
BLINDER, ROBINSON & CO., INC.
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
GREAT AMERICAN INVESTORS, INC.
CRD#: 28489 / SEC#: , 8-44380
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
