Allison T. Rumschik

SYCAMORE FINANCIAL GROUP

Manlius, NY

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CRD#: 5239290

Professional summary

Allison Tyminski Rumschik, who also goes by Allison L Tyminski, Allison Leigh Tyminski, is a registered financial advisor currently at SYCAMORE FINANCIAL GROUP located in Manlius, New York.

Allison is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Allison has worked at 8 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Allison L Tyminski | Allison Leigh Tyminski

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 Allison Tyminski Rumschik's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Allison Tyminski Rumschik'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

July 26, 2017 - Present

SYCAMORE FINANCIAL GROUP

RIA

CRD#: 14143

Manlius, NY

Current

July 17, 2017 - Present

SYCAMORE FINANCIAL GROUP

RIA

CRD#: 14143

Manlius, NY

Past

July 14, 2014 - June 14, 2017

GOLDMAN SACHS CUSTODY SOLUTIONS

CRD#: 48015

MCLEAN, VA

Past

January 30, 2014 - June 24, 2014

CLAYTON LOWELL, & CONGER INC

CRD#: 44343

NEW WOODSTOCK, NY

Past

March 22, 2012 - June 24, 2014

ADIRONDACK TRADING GROUP LLC

CRD#: 103910

NEW WOODSTOCK, NY

Past

June 20, 2008 - June 24, 2014

RIDGEWAY CONGER ADVISORY SERVICES

RIA

CRD#: 139372

NEW WOODSTOCK, NY

Past

June 9, 2008 - June 24, 2014

RIDGEWAY & CONGER, INC.

CRD#: 113055

NEW WOODSTOCK, NY

Past

August 9, 2007 - June 6, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SYRACUSE, NY

Past

August 9, 2007 - June 6, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

SYRACUSE, NY

Past

May 14, 2007 - August 14, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SYRACUSE, NY

Past

January 30, 2007 - August 14, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SYRACUSE, NY

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".

SYCAMORE FINANCIAL GROUP

SMITH, GAYLOR, INC. | SYCAMORE FINANCIAL GROUP, INC. | SYCAMORE FINANCIAL GROUP

CRD#: 14143 / SEC#: 801-62788, 8-30302

RIA

Registered Investment Advisory firm - SEC (2/27/2004 Approved)

Indiana

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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

Arizona
(8/7/2017)

Colorado
(8/7/2017)

Florida
(8/7/2017)

IAR

Florida
(8/8/2017)

Georgia
(8/7/2017)

Hawaii
(8/7/2017)

Illinois
(8/7/2017)

IAR

Illinois
(9/21/2017)

Indiana
(8/7/2017)

IAR

Indiana
(11/8/2017)

Kansas
(8/7/2017)

Kentucky
(8/7/2017)

Michigan
(8/7/2017)

Nebraska
(8/7/2017)

IAR

Nebraska
(10/11/2017)

New Mexico
(8/7/2017)

New York
(11/15/2020)

North Carolina
(8/8/2017)

Ohio
(8/7/2017)

IAR

Ohio
(8/7/2017)

Pennsylvania
(8/7/2017)

South Carolina
(8/7/2017)

Texas
(8/7/2017)

IAR

Texas
(8/8/2017)

Virginia
(7/25/2017)

IAR

Virginia
(7/26/2017)

Wisconsin
(8/7/2017)

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 66

Date: 5/11/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/6/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/29/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/26/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SYCAMORE FINANCIAL GROUP

SMITH, GAYLOR, INC. | SYCAMORE FINANCIAL GROUP, INC. | SYCAMORE FINANCIAL GROUP

CRD#: 14143 / SEC#: 801-62788, 8-30302

RIA

Registered Investment Advisory firm - SEC (2/27/2004 Approved)

Indiana

Registered Investment Advisory firm - SEC (7/24/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

2713 Rockford Lane, Kokomo, IN 46902

Mailing Address

2713 Rockford Lane, Kokomo, IN 46902

Phone number

(765) 455-1554

Established

Indiana since 07/23/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (8 States and Territories)

FINRA licenses (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2AB SYCAMORE FINANCIAL GROUP (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
SMITH, CRAIG ALLEN	PRESIDENT/TREASURER/CHIEF COMPLIANCE OFFICER	810191
SMITH, ALEC F	NON-REGISTERED OWNER	6395553
SMITH, PHILLIP F	NON-REGISTERED OWNER	6395438
FAULKNER, ANITA LYNN	VICE PRESIDENT/SECRETARY	1575683

Regulatory assets under management

Total Number of Accounts	1,937
AUM (Assets Under Management)	$ 681,079,389

Disclosures

Regulatory Event

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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Firm Stability Insights

Allison T. Rumschik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allison Tyminski Rumschik's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Allison Tyminski Rumschik's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYCAMORE FINANCIAL GROUP

GOLDMAN SACHS CUSTODY SOLUTIONS

CLAYTON LOWELL, & CONGER INC

ADIRONDACK TRADING GROUP LLC

RIDGEWAY CONGER ADVISORY SERVICES

RIDGEWAY & CONGER, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SYCAMORE FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 5/11/2007

SIE

Date: 10/1/2018

Series 31

Date: 9/6/2007

Series 7

Date: 1/29/2007

Series 24

Date: 7/26/2011

FINRA

Current Firm

SYCAMORE FINANCIAL GROUP

Contact information

SEC notice filing (8 States and Territories)

FINRA licenses (21 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SYCAMORE FINANCIAL GROUP

TRUST BUT VERIFY

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