Thomas N. Tullo
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.
Thomas Nicholas Tullo, who also goes by Thomas N Tullo, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 11 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
March 13, 2018 - March 31, 2020
ROSSOFF & CO. LLC
February 10, 2012 - March 6, 2018
CPIBD LLC
August 5, 2010 - September 9, 2011
GLEACHER & COMPANY SECURITIES, INC.
February 29, 2008 - April 22, 2010
RBC CAPITAL MARKETS, LLC
March 1, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
October 5, 2001 - January 30, 2007
NEEDHAM & COMPANY, LLC
December 19, 2000 - January 19, 2001
ECAPNETWORK SECURITIES, INC.
June 24, 1997 - March 15, 2000
ABN AMRO SECURITIES LLC
August 16, 1996 - June 3, 1997
SCHRODER & CO. INC.
April 12, 1991 - October 9, 1995
S.G. WARBURG & CO. INC.
March 29, 1988 - April 1, 1991
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
ROSSOFF & CO. LLC
CRD#: 148440 / SEC#: , 8-68025
Contact information
Documents
Red Flags
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