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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Andrew Craig Tupler

Andrew C. Tupler

MUTUAL SECURITIES
Warren, NJ 07059
Some features on this profile are disabled
CRD#: 2710028
Andrew Craig Tupler

Professional summary

Andrew Craig Tupler, CFP® is a registered financial professional currently at MUTUAL SECURITIES, INC. located in Warren, New Jersey.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1996. Andrew has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

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 Andrew Craig Tupler'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®
CFP®

Certified Financial Planner

Start date: 2003

Experience

Current

April 16, 2026 - Present

MUTUAL SECURITIES, INC.

Office #1: 28 Mountain Blvd., Warren, NJ 07059
BD
CRD#: 13092
Warren, NJ
Past

July 25, 2002 - April 17, 2026

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
Warren, NJ
Past

January 16, 2002 - April 17, 2026

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
Warren, NJ
Past

March 8, 1999 - January 17, 2002

INVESTMENT ADVISORS & CONSULTANTS, INC.

BD
CRD#: 7996
WEST LONG BRANCH, NJ
Past

March 14, 1996 - March 17, 1999

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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
Alabama
(4/16/2026)
RR
Arizona
(4/16/2026)
RR
California
(4/16/2026)
RR
Colorado
(4/16/2026)
RR
Connecticut
(4/16/2026)
RR
District of Columbia
(4/16/2026)
RR
Florida
(4/16/2026)
RR
Georgia
(4/16/2026)
RR
Illinois
(4/16/2026)
RR
Maine
(4/16/2026)
RR
Maryland
(4/16/2026)
RR
Massachusetts
(4/16/2026)
RR
Minnesota
(4/16/2026)
RR
New Jersey
(4/16/2026)
RR
New Mexico
(4/16/2026)
RR
New York
(4/16/2026)
RR
Oregon
(4/16/2026)
RR
Pennsylvania
(4/16/2026)
RR
South Carolina
(4/16/2026)
RR
Tennessee
(4/16/2026)
RR
Texas
(4/16/2026)
RR
Vermont
(4/16/2026)
RR
Virginia
(4/16/2026)
RR
Washington
(4/16/2026)
RR
West Virginia
(4/16/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 3/13/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/13/1996
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MUTUAL SECURITIES, INC.
COWLES, SABOL & COMPANY, INCORPORATED | MUTUAL SECURITIES, INC. OF CALIFORNIA | MUTUAL SECURITIES, INC. | MUTUAL SECURITIES INC., OF CALIFORNIA | MUTUAL SECURITIES INC. OF CALIFORNIA

CRD#: 13092 / SEC#: 801-68443, 8-28580

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
807-a Camarillo Springs Road, Camarillo, CA 93012
Mailing Address
P.o. Box 2864, Camarillo, CA 93011
Phone number
(805) 764-6730
Established
California since 02/04/1982
Firm type
Corporation
Fiscal year end
June
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MUTUAL GROUP, INC.CORPORATION
CLAUSSEN, DAWN MARIECHIEF OPERATING OFFICER5445747
DAMIANI, NICHOLAS ARTHURCHIEF ADMINISTRATIVE OFFICER5669491
JASPER, AARON TCHIEF EXECUTIVE OFFICER5016734
SABOL, RYAN STEPHENMANAGING PRINCIPAL4419285
SHANNON, DEBRA DAWNCHIEF COMPLIANCE OFFICER5021297
VOSS, MITCHELL CRAIGCHAIRMAN1029100

Disclosures

Regulatory Event2
Arbitration8

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

MUTUAL SECURITIES, INC.

CRD#: 13092Warren, NJ 07059

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