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Michael James Tumulty

Velocity Clearing, LLC

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About Michael James Tumulty

Michael James Tumulty is a financial professional with over 30 years of experience in the industry. Michael has worked for several prominent firms, including Merrill Lynch, Bear Stearns & Co. Inc., and Donaldson, Lufkin & Jenrette Securities Corporation. Michael currently works as a financial professional at Velocity Clearing, LLC, a firm headquartered in HAZLET, NJ.

Firm Information

Michael Tumulty is currently registered with Velocity Clearing, LLC. Velocity Clearing, LLC is a Limited Liability Company formed in June 2010 and is approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm is registered with the SEC and has been involved in 4 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

87

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Michael Tumulty’s Registration & Firm History

NJ

10/31/2022 - Present

Velocity Clearing, LLC (HAZLET NJ)

TX

11/09/2020 - 10/14/2022

ELECTRONIC TRANSACTION CLEARING, INC. (DALLAS TX)

TX

06/22/2017 - 10/14/2022

APEX CLEARING CORPORATION (DALLAS TX)

NY

08/07/2014 - 02/25/2016

COWEN PRIME SERVICES LLC (NEW YORK NY)

NY

02/04/2010 - 08/07/2014

LAZARD CAPITAL MARKETS LLC (NEW YORK NY)

NY

03/30/2009 - 10/02/2009

RAFFERTY CAPITAL MARKETS, LLC (NEW YORK NY)

NY

10/09/2008 - 11/14/2008

MERLIN SECURITIES, LLC (NEW YORK NY)

NY

04/06/2005 - 01/03/2008

MERRILL LYNCH PROFESSIONAL CLEARING CORP. (NEW YORK NY)

NY

12/03/2003 - 01/03/2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

03/05/1986 - 09/19/2003

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NA

06/18/1985 - 02/18/1986

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION

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Licenses & Designations

BC

Issued 10/02/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/17/2012

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/15/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Michael James Tumulty.
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