John D. Tumolo

SECTOR ANALYSTS LLC

ALLENTOWN, PA 18106

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CRD#: 4143301

Professional summary

John David Tumolo, who also goes by John D Tumolo, John Tumolo, is a registered financial advisor currently at SECTOR ANALYSTS LLC located in Allentown, Pennsylvania and PURSHE KAPLAN STERLING INVESTMENTS located in Allentown, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. John has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John D Tumolo | John Tumolo

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.

1. 02/09/2006 - TUMOLO FINANCIAL GROUP - 1670 salem circle blue bell PA 19422 - FIXED INSURANCE- TIME SPENT 10% - LIFE, HEALTH, LTC. 2. 3/22/2016 - Sector Analysts LLC Investment Related 6126 Hamilton Blvd, Suite 103, Allentown PA 18106. RIA managing Member/IAR. August 2015. 120 hours/120 during trading. Investment Advisor Representative and Managing member of RIA. Also responsible for operations.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Tumolo'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®

None

Experience

Current

June 5, 2015 - Present

SECTOR ANALYSTS LLC

Office #1: 6126 Hamilton Blvd. Suite 103, Allentown, PA 18106

RIA

CRD#: 169789

ALLENTOWN, PA

Current

October 17, 2017 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 6126 Hamilton Blvd Suite 103, Allentown, PA 18106

CRD#: 35747

Allentown, PA

Past

October 23, 2007 - October 30, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

ALLENTOWN, PA

Past

February 9, 2006 - October 30, 2017

LPL FINANCIAL LLC

CRD#: 6413

ALLENTOWN, PA

Past

October 28, 2004 - February 2, 2006

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SECTOR ANALYSTS LLC

SECTOR ANALYSTS | SECTOR ANALYSTS LLC

CRD#: 169789 / SEC#: 801-110613

RIA

Registered Investment Advisory firm - (6/7/2017 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/19/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Connecticut
(10/17/2017)

New Jersey
(10/17/2017)

Oregon
(10/17/2022)

IAR

Pennsylvania
(6/5/2015)

Pennsylvania
(6/13/2023)

Tennessee
(4/16/2018)

Texas
(10/17/2017)

Virginia
(10/17/2017)

Washington
(10/17/2017)

Wisconsin
(10/17/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/8/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/16/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/6/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/27/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SECTOR ANALYSTS LLC

SECTOR ANALYSTS | SECTOR ANALYSTS LLC

CRD#: 169789 / SEC#: 801-110613

RIA

Registered Investment Advisory firm - (6/7/2017 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/19/2017 Terminated)

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Contact information

Main Address

6126 Hamilton Blvd. Suite 103, Allentown, PA 18106

Mailing Address

Phone number

(610) 945-8014

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SA - ADV PART 2A (3/20/2025)

SECTOR ANALYSTS WRAP FEE PROGRAM BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,066
AUM (Assets Under Management)	$ 213,675,420

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.

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Advisor Monitoring

Firm Stability Insights

John D. Tumolo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David Tumolo's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

SECTOR ANALYSTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/8/2011

Series 63

Date: 11/16/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/6/2006

Series 6

Date: 10/27/2004

FINRA

Current Firm

SECTOR ANALYSTS LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SECTOR ANALYSTS LLC

TRUST BUT VERIFY

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