Michael S. Tumolo
Professional summary
Michael Scott Tumolo is a registered financial professional currently at DAVID LERNER ASSOCIATES, INC. located in White Plains, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Scott Tumolo's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 17, 2018 - Present
DAVID LERNER ASSOCIATES, INC.
Office #1: 599 West Hartsdale Avenue, White Plains, NY 10607February 27, 2013 - June 18, 2013
BREAN CAPITAL, LLC
August 17, 2009 - August 16, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
April 19, 2006 - June 18, 2009
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/12/2025)
(9/18/2018)
(10/7/2021)
(10/20/2021)
(4/2/2019)
(11/12/2018)
(9/5/2023)
(10/7/2021)
(10/7/2021)
(10/6/2021)
Exams
FINRA
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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