CT
Connor Tumblin
J.P. MORGAN INSTITUTIONAL INVESTMENTS
COLUMBUS, OH 43240
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CRD#: 7324681
CT
Connor TumblinJ.P. MORGAN INSTITUTIONAL INVESTMENTS
Professional summary
Connor Tumblin, who also goes by Connor Reed Tumblin, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in Columbus, Ohio.
Connor is registered as a RR (Registered Representative) and started their career in finance in 2021. Connor has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 14 exams.
Aliases
Connor Reed Tumblin
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.
1) Business Activity: RIA; Business Entity: Retirement Guys Formula; Address: Maumee, OH; Duties of Position: Day to day compliance tasks; Title: Compliance Specialist; Start Date: 08/25/2020; Approx. # of hours per month spent on activity: 40; Approx. # of hours spent during trading hours: 40 2) Business Activity: RIA; Business Entity: Retirement Guys Formula: Address: Maumee, OH; Duties of Position: Provide financial advice to clients; Title: IAR; Start Date: 01.10.2021; Approx. # of hours per month spent on activity: 10; Approx. # of hours spent during trading hours: 10 3) Business Activity: Insurance Agent; Business Entity: CU Specialist; Address: Maumee, OH; Duties of Position: Sell life and health insurance; Title: Insurance Agent; Start Date: 09.25.2023; Approx. # of hours per month spent on activity: 10; Approx. # of hours spent during trading hours: 10 4.) Peak Brokerage Services, LLC, investment related, Jupiter, FL, Broker Dealer, Registered Support Staff, Start Date 01/2024, approximately 5 hours/month devoted to this business with all hours during securities trading hours
CRS (Client Relationship Summary) - BD
Click below to view Connor Tumblin'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®
NoneExperience
Current
July 29, 2026 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 1111 Polaris Parkway, Columbus, OH 43240BD
CRD#: 102920
COLUMBUS, OH
Past
February 2, 2024 - July 30, 2026
PEAK BROKERAGE SERVICES, LLC
BD
CRD#: 157045
Maumee, OH
Past
January 10, 2021 - May 29, 2026
THE RETIREMENT GUYS FORMULA
RIA
CRD#: 168561
MAUMEE, OH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Connecticut(7/29/2026)
RR
Delaware(7/29/2026)
RR
District of Columbia(7/29/2026)
RR
Maine(7/29/2026)
RR
Maryland(7/29/2026)
RR
Massachusetts(7/29/2026)
RR
New Hampshire(7/29/2026)
RR
New Jersey(7/29/2026)
RR
New York(7/29/2026)
RR
North Carolina(7/29/2026)
RR
Ohio(7/29/2026)
RR
Pennsylvania(7/29/2026)
RR
Rhode Island(7/29/2026)
RR
South Carolina(7/29/2026)
RR
Vermont(7/29/2026)
RR
Virginia(7/29/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/18/2026
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
JM
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
J. P. MORGAN ADVISORS, INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. | J.P. MORGAN INSTITUTIONAL INVESTMENTS | J.P. MORGAN
CRD#: 102920 / SEC#: 801-64031, 8-52182
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
270 Park Avenue, New York, NY 10017
Mailing Address
480 Washington Blvd, Floor 11 Ny1-f019, Jersey City, NJ 07310-1616
Phone number
(201) 595-1958
Established
Delaware since 05/26/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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