Jaipal K. Tuttle
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.
Jaipal Kenneth Tuttle was a registered financial professional .
Jaipal is a previously registered financial professional and started their career in finance in 1996. Jaipal had worked at 5 firms and has passed the Series 63, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2016 - May 14, 2018
STRATIFI, LLC
August 6, 2015 - February 13, 2023
LAKESIDE NORTH CAPITAL ADVISORS, LLC
November 18, 2003 - December 10, 2014
OKLO FINANCIAL, LLC
November 14, 2002 - June 17, 2008
AMERICAN INVESTORS COMPANY
September 18, 1996 - March 12, 2001
MORGAN STANLEY & CO. LLC
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
Series 55
Date: 11/16/1999
Limited Representative-Equity Trader ExamCurrent Firm
STRATIFI, LLC
CRD#: 149862 / SEC#: 801-70173
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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