Barry D. Tull
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.
Barry Dale Tull was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1970. Barry had worked at 9 firms and has passed the Series 63, Series 15, Series 5, Series 000, Series 1, Series 24, Series 8, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 1998 - November 19, 1999
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
May 3, 1990 - September 11, 1998
SCHNEIDER SECURITIES, INC.
February 23, 1990 - April 27, 1990
JJC SECURITIES CO., INC.
August 23, 1988 - February 5, 1990
HANIFEN, IMHOFF SECURITIES CORP.
May 8, 1987 - October 18, 1988
HANIFEN, IMHOFF INC.
August 8, 1983 - May 13, 1987
ADVEST, INC.
August 11, 1976 - February 22, 1983
THOMSON MCKINNON SECURITIES INC.
September 13, 1972 - September 7, 1976
E. F. HUTTON & COMPANY INC
July 24, 1970 - October 27, 1972
F I DUPONT GLORE FORGAN & CO
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
Series 15
Date: 11/22/1982
Foreign Currency Options ExaminationSeries 5
Date: 11/10/1981
Interest Rate Options ExaminationSeries 000
Date: 2/26/1963
General Securities Principal ExaminationSeries 1
Date: 2/19/1963
Registered Representative ExaminationSeries 8
Date: 2/28/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 7/28/1971
Registered Principal ExaminationSeries 12
Date: 7/14/1971
NYSE Branch Manager ExaminationCurrent Firm
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
CRD#: 8350 / SEC#: , 8-25105
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORNING, STEPHEN JAMES | DIRECTOR/PRESIDENT | 250316 |
| VANTREUREN, RALPH DAVID | DIRECTOR/VICE PRESIDENT | 453387 |
| LLOYD, MARY CAROLYNE | SHAREHOLDER(RESIGNED AS DIRECTOR 03/02) | |
| ZALES, MICHAEL JACOB | DIRECTOR/VICE PRESIDENT | 475699 |
| BLANKENHEIM, GEORGE THOMAS | SECRETARY/TREASURER | 23218 |
| CLARKE, JUDITH VAN BROCKLIN | TRADER | 1014789 |
| COX, NEIL AMEL | DIRECTOR/VICE PRESIDENT | 806126 |
| DASCALOS, JAMES | DIRECTOR | |
| MAXEY, CRAIG ALLEN | SROP-CROP/VICE PRESIDENT | 820099 |
| SMITH, ROBERT LEE | DIRECTOR |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
