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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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PT

Patrick J. Tuma

TUMA FINANCIAL
Marriottsville, MD
Some features on this profile are disabled
CRD#: 2933086
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Professional summary

Patrick James Tuma, CFP®, who also goes by Patrick Tuma, is a registered financial advisor currently at TUMA FINANCIAL, LLC located in Marriottsville, Maryland.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Patrick has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Patrick Tuma

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) - RIA

Click below to view Patrick James Tuma'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®
CFP®

Certified Financial Planner

Start date: 2001

Experience

Current

February 28, 2017 - Present

TUMA FINANCIAL, LLC

RIA
CRD#: 286365
Marriottsville, MD
Past

December 6, 2002 - March 19, 2024

FINANCIAL DIMENSIONS, LLC.

RIA
CRD#: 121379
LUTHERVILLE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Maryland
(2/28/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/5/1997
Uniform Investment Adviser Law Examination

Current Firm

TF
TUMA FINANCIAL, LLC
TUMA FINANCIAL, LLC

CRD#: 286365 / SEC#:

Maryland
Registered Investment Advisory firm - (2/28/2017 Approved)
PREMIUM
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Contact information

Main Address
Marriottsville, MD
Mailing Address
Phone number
(410) 807-5701
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts103
AUM (Assets Under Management)$ 44,637,011

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

TUMA FINANCIAL, LLC

CRD#: 286365Marriottsville, MD

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