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Current Employers
Tudor Financial, Inc.

8111 Timberlodge Trail, Dayton, OH 45458-2103 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2017-06-14
OH RA APPROVED 2003-01-23
  • FL RA
    APPROVED
    Since 2017-06-14
  • OH RA
    APPROVED
    Since 2003-01-23

Branch Locations

8111 Timberlodge Trail, Dayton, OH 45458-2103 • United States

8111 Timberlodge Trail, Dayton, OH 45458-2103 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Westminster Financial Securities, Inc. Vandalia OH 01/1989 Present
Tudor Financial, Inc. Dayton OH 05/1992 Present
  • 01/1989 → Present
    Westminster Financial Securities, Inc.
    Vandalia, OH
  • 05/1992 → Present
    Dayton, OH
Other Businesses

TUDOR FINANCIAL, INVESTMENT-RELATED, PRESIDENT, COMPLIANCE, IA, FULL-TIME, SALARY, 8111 TIMBERLODGE TRAIL, DAYTON OH 45458 Non-investment related: Real estate rental properties, less than 4 hours a month.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-12-17
S63 Uniform Securities Agent State Law Examination 2001-08-17
  • S65 Uniform Investment Adviser Law Examination
    2013-12-17
  • S63 Uniform Securities Agent State Law Examination
    2001-08-17

View on SEC IAPD

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