CT
Connor Tumblin
THE RETIREMENT GUYS FORMULA
Maumee, OH 43537
Some features on this profile are disabled
CRD#: 7324681
CT
Professional summary
Connor Tumblin, who also goes by Connor Reed Tumblin, is a registered financial advisor currently at THE RETIREMENT GUYS FORMULA located in Maumee, Ohio and PEAK BROKERAGE SERVICES, LLC located in Maumee, Ohio.
Connor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Connor has worked at 2 firms and has passed the Series 65, SIE and Series 14 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) - RIA
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
January 10, 2021 - Present
THE RETIREMENT GUYS FORMULA
Office #1: 1700 Woodlands Drive, Maumee, OH 43537RIA
CRD#: 168561
Maumee, OH
Current
February 2, 2024 - Present
PEAK BROKERAGE SERVICES, LLC
Office #1: 1700 Woodlands Suite 100, Maumee, OH 43537BD
CRD#: 157045
Maumee, OH
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".
TR
THE RETIREMENT GUYS FORMULA
AMERICA'S RETIREMENT HEADQUARTERS | THE RETIREMENT GUYS NETWORK | THE RETIREMENT GUYS FORMULA LLC | THE RETIREMENT GUYS FORMULA | RETIRE PITTSBURGH | EISERT WEALTH MANAGEMENT | BULL MOOSE RETIREMENT
CRD#: 168561 / SEC#: 801-119086
RIA
Registered Investment Advisory firm - (7/20/2020 Approved)Michigan
Registered Investment Advisory firm - (7/23/2020 Terminated)Ohio
Registered Investment Advisory firm - (7/23/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2020 Terminated)South Carolina
Registered Investment Advisory firm - (7/22/2020 Terminated)Texas
Registered Investment Advisory firm - (7/22/2020 Terminated)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
Ohio(1/10/2021)
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TR
THE RETIREMENT GUYS FORMULA
AMERICA'S RETIREMENT HEADQUARTERS | THE RETIREMENT GUYS NETWORK | THE RETIREMENT GUYS FORMULA LLC | THE RETIREMENT GUYS FORMULA | RETIRE PITTSBURGH | EISERT WEALTH MANAGEMENT | BULL MOOSE RETIREMENT
CRD#: 168561 / SEC#: 801-119086
RIA
Registered Investment Advisory firm - (7/20/2020 Approved)Michigan
Registered Investment Advisory firm - (7/23/2020 Terminated)Ohio
Registered Investment Advisory firm - (7/23/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2020 Terminated)South Carolina
Registered Investment Advisory firm - (7/22/2020 Terminated)Texas
Registered Investment Advisory firm - (7/22/2020 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1700 Woodlands Drive, Maumee, OH 43537
Mailing Address
Phone number
(419) 842-0550
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991 |
| AUM (Assets Under Management) | $ 300,603,838 |
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.
