Philip M. Tullman
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.
Philip Michael Tullman was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1980. Philip had worked at 13 firms and has passed the Series 63, SIE, Series 55, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2009 - June 29, 2016
WEDBUSH SECURITIES INC.
January 7, 2008 - July 8, 2009
PACIFIC GROWTH EQUITIES, LLC
June 1, 2005 - October 12, 2007
W.R. HAMBRECHT + CO., LLC
March 17, 2004 - February 17, 2005
UBS CAPITAL MARKETS L.P.
September 24, 1999 - November 6, 2003
BANC OF AMERICA SECURITIES LLC
June 9, 1989 - September 15, 1999
J.P. MORGAN SECURITIES LLC
January 27, 1988 - June 3, 1989
PRUDENTIAL EQUITY GROUP, LLC
October 21, 1987 - April 7, 1988
E. F. HUTTON & COMPANY INC
June 12, 1986 - October 23, 1987
NOMURA SECURITIES INTERNATIONAL, INC.
May 7, 1985 - May 6, 1986
NATIXIS SECURITIES AMERICAS LLC
June 26, 1984 - September 23, 1985
LEHMAN BROTHERS INC.
September 22, 1982 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 20, 1980 - July 2, 1982
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
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 55
Date: 6/24/2014
Limited Representative-Equity Trader ExamSeries 5
Date: 10/16/1981
Interest Rate Options ExaminationCurrent Firm
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | ||
| 10/28/2024 | ||
| 04/26/2024 |
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.
