Nicholas D. Tumolo

TUMOLO WEALTH MANAGEMENT LLC

East Lyme, CT 06333

Some features on this profile are disabled

CRD#: 7371129

Professional summary

Nicholas Daniel Tumolo is a registered financial advisor currently at TUMOLO WEALTH MANAGEMENT LLC located in East Lyme, Connecticut.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Nicholas has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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; EAST LYME, 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 Nicholas 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®

None

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

May 10, 2021 - June 28, 2024

TUCKER ASSET MANAGEMENT LLC

RIA

CRD#: 174844

East Lyme, 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
(1/31/2025)

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 65

Date: 4/26/2021

Uniform Investment Adviser Law 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)

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

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.

Similar Advisors

Marc Lowe

IN THE MONEY RETIREMENT PLANNING LIMITED LIABILITY COMPANY

IAR

WATERFORD, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas D. Tumolo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

TUMOLO WEALTH MANAGEMENT LLC

TUCKER ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/2021

Current Firm

TUMOLO WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TUMOLO WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors