Theodore E. Tutun

STIFEL, NICOLAUS & COMPANY

New York, NY 10019

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CRD#: 2270029

Professional summary

Theodore Eric Tutun is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in New York, New York and KEEFE, BRUYETTE & WOODS, INC. located in New York, New York.

Theodore is registered as a RR (Registered Representative) and started their career in finance in 1992. Theodore has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Theodore Eric Tutun'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 7, 2019 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #1: 787 7th Avenue, New York, NY 10019

RIA

CRD#: 793

New York, NY

Current

May 12, 2020 - Present

KEEFE, BRUYETTE & WOODS, INC.

Office #1: 787 7th Avenue, New York, NY 10019

CRD#: 481

New York, NY

Past

November 4, 2016 - November 14, 2019

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

February 22, 2007 - July 8, 2016

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

April 6, 2004 - March 5, 2007

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

February 7, 2002 - April 13, 2004

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

November 3, 2000 - December 12, 2001

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

June 14, 1996 - December 12, 2001

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

September 4, 1992 - June 5, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(5/12/2020)

Alaska
(5/12/2020)

Arizona
(5/12/2020)

Arkansas
(5/12/2020)

California
(5/12/2020)

Colorado
(5/12/2020)

Connecticut
(5/12/2020)

Delaware
(5/12/2020)

District of Columbia
(5/12/2020)

Florida
(5/12/2020)

Georgia
(5/12/2020)

Hawaii
(5/12/2020)

Idaho
(5/12/2020)

Illinois
(5/12/2020)

Indiana
(5/12/2020)

Iowa
(5/12/2020)

Kansas
(5/12/2020)

Kentucky
(5/12/2020)

Louisiana
(5/12/2020)

Maine
(5/12/2020)

Maryland
(5/12/2020)

Massachusetts
(5/12/2020)

Michigan
(5/12/2020)

Minnesota
(5/12/2020)

Mississippi
(5/12/2020)

Missouri
(5/12/2020)

Montana
(5/12/2020)

Nebraska
(5/12/2020)

Nevada
(5/12/2020)

New Hampshire
(5/12/2020)

New Jersey
(5/12/2020)

New Mexico
(5/12/2020)

New York
(11/7/2019)

North Carolina
(5/13/2020)

North Dakota
(5/12/2020)

Ohio
(5/12/2020)

Oklahoma
(5/12/2020)

Oregon
(5/12/2020)

Pennsylvania
(5/12/2020)

Puerto Rico
(5/12/2020)

Rhode Island
(5/12/2020)

South Carolina
(5/12/2020)

South Dakota
(5/12/2020)

Tennessee
(5/12/2020)

Texas
(5/12/2020)

Utah
(5/12/2020)

Vermont
(5/12/2020)

Virgin Islands
(5/12/2020)

Virginia
(5/12/2020)

Washington
(5/12/2020)

West Virginia
(5/12/2020)

Wisconsin
(5/12/2020)

Wyoming
(5/12/2020)

Exams

State Security Law Exam

Series 63

Date: 3/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/9/1998

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

KEEFE, BRUYETTE & WOODS, INC.

CRD#: 481 / SEC#: , 8-10888

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

787 7th Avenue, New York, NY 10019

Mailing Address

787 7th Avenue 4th Floor, New York, NY 10019

Phone number

(212) 887-7777

Established

New York since 06/11/1962

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KBW, LLC	LIMITED LIABILITTY CORPORATION
ANDERSON, SCOTT RANDALL	DIRECTOR	2154345
BERRY, JOSEPH SCOTT	DIRECTOR	2868513
DAVIS, ERICKSON P	DIRECTOR	4974063
FISHER, MARK	GENERAL COUNSEL	4970942
GRANT, ROBERT J	DIRECTOR	4861012
JOHNSTONE, MARY	CHIEF COMPLIANCE OFFICER	1170408
KELLEY, MATTHEW	DIRECTOR	5330646
MELINGER, ADAM SCOTT	ROSFP	2373020
MICHAUD, THOMAS BEAULIEU	CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT	1672278
SMITH, RICHARD WILLIAM	PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER	1333488
WIRTH, PETER JOHN	DIRECTOR	1623159

Disclosures

Regulatory Event	17
Bond	1

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.

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Theodore E. Tutun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Theodore Eric Tutun's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEEFE, BRUYETTE & WOODS, INC.

COWEN AND COMPANY

JEFFERIES LLC

CIBC WORLD MARKETS CORP.

BANC OF AMERICA SECURITIES LLC

PERSHING LLC

CREDIT SUISSE SECURITIES (USA) LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/17/1995

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/26/1992

Series 24

Date: 10/9/1998

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Texas, Inc.

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

KEEFE, BRUYETTE & WOODS, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KEEFE, BRUYETTE & WOODS, INC.

TRUST BUT VERIFY

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