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Nicholas Daniel Tumolo

Tumolo Wealth Management LLC

East Lyme, CT

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Current Employers
Tumolo Wealth Management Llc

339 Flanders Road Suite 102, East Lyme, CT 06333 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-01-31
CT RA APPROVED 2024-05-16
  • FL RA
    APPROVED
    Since 2025-01-31
  • CT RA
    APPROVED
    Since 2024-05-16

Branch Locations

339 Flanders Road Suite 102, East Lyme, CT 06333 • 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
Tucker Asset Management Littleton CO 04/2021 05/2024
Tumolo Financial East Lyme CT 01/2020 Present
Cwpm Llc Plainville CT 01/2015 01/2020
Tumolo Wealth Management, Llc East Lyme CT 05/2024 Present
  • 04/2021 → 05/2024
    Tucker Asset Management
    Littleton, CO
  • 01/2020 → Present
    Tumolo Financial
    East Lyme, CT
  • 01/2015 → 01/2020
    Cwpm Llc
    Plainville, CT
  • 05/2024 → Present
    Tumolo Wealth Management, Llc
    East Lyme, CT
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-04-26
  • S65 Uniform Investment Adviser Law Examination
    2021-04-26

View on SEC IAPD

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Other Investors

DANIEL JOHN HEFFERNAN
Jacob Aaron Alonzo
STEVEN M DRACZYNSKI
BRENT CHRISTOPHER EUGENIDES
MARK LEHMAN BOBRUFF
BRITTNI REHG OXENDINE
KENNETH DANIEL TUMOLO
Joshua Morton

Other Offices

COMMONWEALTH FINANCIAL NETWORK · EAST LYME, CT
CETERA INVESTMENT ADVISERS LLC · EAST LYME, CT
AMERITAS ADVISORY SERVICES, LLC · EAST LYME, CT
LPL FINANCIAL LLC · East Lyme, CT
COMPASS ROSE STRATEGIC PARTNERS LLC · WATERFORD, CT
EDWARD JONES · NIANTIC, CT
EDWARD JONES · WATERFORD, CT
LPL FINANCIAL LLC · WATERFORD, CT

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