Carl W. Tuell
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.
Carl Wayne Tuell was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1995. Carl had worked at 5 firms and has passed the Series 65, Series 63 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
December 16, 2003 - April 2, 2012
QUEST CAPITAL STRATEGIES, INC.
June 12, 1997 - November 7, 2003
SECURITIES SERVICE NETWORK, LLC
February 24, 1997 - June 12, 1997
WMA SECURITIES, INC.
February 23, 1995 - November 14, 1995
IDS LIFE INSURANCE COMPANY
February 23, 1995 - November 14, 1995
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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