Seth M. Stone

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CRD#: 4646538

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.

Seth Michael Stone, who also goes by Seth Michael Purcell, was a registered financial professional .

Seth is a previously registered financial professional and started their career in finance in 2004. Seth had worked at 9 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Seth Michael Purcell

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 28, 2011 - June 3, 2016

TULL FINANCIAL GROUP, INC.

RIA

CRD#: 112235

CHESAPEAKE, VA

Past

April 28, 2008 - May 8, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

SCHENECTADY, NY

Past

April 28, 2008 - May 8, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

April 2, 2007 - March 10, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

ALBANY, NY

Past

April 2, 2007 - March 10, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

ALBANY, NY

Past

March 20, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ALBANY, NY

Past

March 20, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

ALBANY, NY

Past

August 16, 2006 - March 9, 2007

MCGINN, SMITH ADVISORS LLC

RIA

CRD#: 137827

ALBANY, NY

Past

April 24, 2006 - March 8, 2007

MCGINN, SMITH & CO., INC.

CRD#: 8453

CLIFTON PARK, NY

Past

November 22, 2004 - February 17, 2006

CAREY FINANCIAL, LLC

CRD#: 15246

NEW YORK, NY

Past

January 1, 2004 - September 22, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 1, 2004 - September 22, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

TULL FINANCIAL GROUP, INC.

R.W. TULL & ASSOCIATES, INC. | TULL FINANCIAL GROUP, INC.

CRD#: 112235 / SEC#: 801-61759

RIA

Registered Investment Advisory firm - (1/23/2003 Approved)

Virginia

Registered Investment Advisory firm - (3/31/2003 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/25/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 4/5/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/23/2003

General Securities Representative Examination

Current Firm

TULL FINANCIAL GROUP, INC.

R.W. TULL & ASSOCIATES, INC. | TULL FINANCIAL GROUP, INC.

CRD#: 112235 / SEC#: 801-61759

RIA

Registered Investment Advisory firm - (1/23/2003 Approved)

Virginia

Registered Investment Advisory firm - (3/31/2003 Terminated)

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Contact information

Main Address

555 Belaire Avenue Suite 130, Chesapeake, VA 23320-5205

Mailing Address

Phone number

(757) 436-1122

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (3/6/2025)

Regulatory assets under management

Total Number of Accounts	1,018
AUM (Assets Under Management)	$ 311,673,043

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

Seth M. Stone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MCGINN, SMITH ADVISORS LLC

MCGINN, SMITH & CO., INC.

CAREY FINANCIAL, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

TULL FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/25/2003

Series 31

Date: 4/5/2007

Series 7

Date: 12/23/2003

Current Firm

TULL FINANCIAL GROUP, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TULL FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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