Nicholas J. Tumilty
Professional summary
Nicholas James Tumilty, who also goes by Nicholas Tumilty, Nick Tumilty, is a registered financial advisor currently at JMG FINANCIAL GROUP LTD located in Downers Grove, Illinois.
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 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas James Tumilty's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 21, 2025 - Present
JMG FINANCIAL GROUP LTD
Office #1: 2001 Butterfield Road, Suite 1400, Downers Grove, IL 60515August 2, 2021 - February 22, 2022
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
JMG FINANCIAL GROUP LTD
CRD#: 110302 / SEC#: 801-23526
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/21/2025)
Exams
Series 7TO
Date: 8/2/2021
General Securities Representative ExaminationCurrent Firm
JMG FINANCIAL GROUP LTD
CRD#: 110302 / SEC#: 801-23526
Contact information
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,763 |
| AUM (Assets Under Management) | $ 6,366,272,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/11/2024 | ||
| 11/20/2023 | ||
| 02/20/2023 |
Red Flags
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