Kenneth D. Tumolo

TUMOLO WEALTH MANAGEMENT LLC

East Lyme, CT 06333

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CRD#: 6219688

Professional summary

Kenneth Daniel Tumolo, CFP®, who also goes by Ken Tumolo, Kenneth Tumolo, Kenny Tumolo, is a registered financial advisor currently at TUMOLO WEALTH MANAGEMENT LLC located in East Lyme, Connecticut.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Kenneth has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ken Tumolo | Kenneth Tumolo | Kenny 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.

INSURANCE SALES; INVESTMENT RELATED; CT; INSURANCE AGENT SINCE 2014 TO PRESENT; APPROXIMATELY 40 HOURS PER MONTH DURING TRADING HOURS; SALES OF VARIOUS INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Daniel Tumolo's 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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

May 16, 2024 - Present

TUMOLO WEALTH MANAGEMENT LLC

Office #1: 339 Flanders Road Suite 102, East Lyme, CT 06333

RIA

CRD#: 330567

East Lyme, CT

Past

July 6, 2020 - June 28, 2024

TUCKER ASSET MANAGEMENT LLC

RIA

CRD#: 174844

East Lyme, CT

Past

August 29, 2019 - July 6, 2020

CAITLIN JOHN, LLC

RIA

CRD#: 154494

East Lyme, CT

Past

May 29, 2014 - September 4, 2019

JOHNSON BRUNETTI

RIA

CRD#: 171168

WETHERSFIELD, CT

Past

April 22, 2014 - May 29, 2014

SILVER OAK SECURITIES, INCORPORATED

RIA

CRD#: 46947

WETHERSFIELD, CT

Past

April 22, 2014 - April 25, 2017

SILVER OAK SECURITIES, INCORPORATED

CRD#: 46947

WETHERSFIELD, CT

Past

September 4, 2013 - April 17, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HARTFORD, CT

Past

August 7, 2013 - April 17, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HARTFORD, CT

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(5/16/2024)

IAR

Florida
(11/8/2024)

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: 9/3/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/25/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/7/2013

General Securities Representative Examination

Current Firm

TUMOLO WEALTH MANAGEMENT LLC

CRD#: 330567 / SEC#:

Connecticut

Registered Investment Advisory firm - (5/16/2024 Approved)

Florida

Registered Investment Advisory firm - (11/8/2024 Approved)

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Contact information

Main Address

339 Flanders Road Suite 102, East Lyme, CT 06333

Mailing Address

Phone number

(860) 650-3005

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	613
AUM (Assets Under Management)	$ 93,700,000

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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Kenneth D. Tumolo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Daniel Tumolo's CRS (Customer Relationship Summary).

Certified licenses

Experience

TUMOLO WEALTH MANAGEMENT LLC

TUCKER ASSET MANAGEMENT LLC

CAITLIN JOHN, LLC

JOHNSON BRUNETTI

SILVER OAK SECURITIES, INCORPORATED

SILVER OAK SECURITIES, INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 9/3/2013

SIE

Date: 4/25/2017

Series 7

Date: 8/7/2013

Current Firm

TUMOLO WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TUMOLO WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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