Thomas W. Bullitt
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.
Thomas Walker Bullitt, CFP®, who also goes by Tom Bullitt, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 4 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
Start date: 1999
Experience
February 22, 2010 - April 11, 2023
BALLENTINE PARTNERS
September 10, 2007 - February 23, 2010
BALLENTINE FINN & CO INC
December 1, 2000 - November 14, 2005
BEACON FIDUCIARY ADVISORS INC
May 14, 1996 - November 10, 1999
CANACCORD GENUITY LLC
Primary Firm SEC Registration
BALLENTINE PARTNERS
CRD#: 152802 / SEC#: 801-71062
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
BALLENTINE PARTNERS
CRD#: 152802 / SEC#: 801-71062
Contact information
SEC notice filing (30 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,877 |
| AUM (Assets Under Management) | $ 12,005,636,010 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/31/2025 | ||
| 02/26/2025 | ||
| 12/21/2023 | ||
| 11/16/2022 |
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.
