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JT

John S. Tolmie

CYPRESS ASSOCIATES
New York, NY 10017
Some features on this profile are disabled
CRD#: 2535923
JT

Professional summary

John Stratton Tolmie, who also goes by John S Tolmie III, John Stratton Tolmie III, is a registered financial professional currently at CYPRESS ASSOCIATES located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1998. John has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John S Tolmie Iii | John Stratton Tolmie Iii

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 John Stratton Tolmie's 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

May 19, 2005 - Present

CYPRESS ASSOCIATES

Office #1: 52 Vanderbilt Avenue, Suite 902, New York, NY 10017
BD
CRD#: 130252
New York, NY
Past

August 17, 1998 - September 7, 1999

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
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
California
(2/15/2012)
RR
New York
(10/20/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 10/19/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CA
CYPRESS ASSOCIATES
CYPRESS ASSOCIATES | CYPRESS PARTNERS LLC

CRD#: 130252 / SEC#: , 8-66321

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

Main Address
52 Vanderbilt Avenue, Suite 501, New York, NY 10017
Mailing Address
52 Vanderbilt Avenue, Suite 501, New York, NY 10017
Phone number
(212) 682-2222
Established
Connecticut since 10/01/2003
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ATKINS, JOHN TREVORGENERAL PRINCIPAL AND CHIEF EXECUTIVE OFFICER1473955
SWEENEY, KEVIN MICHAELFINOP, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER2222633
TOLMIE, JOHN STRATTONREGISTERED REP.2535923

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

CYPRESS ASSOCIATES

CRD#: 130252New York, NY 10017

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