Mike Tuma Email and Phone Number
Mike Tuma work email
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Mike Tuma personal email
With over 25 years of experience I have developed a genuine passion for growing businesses and the professionals I am fortunate enough to lead, achieve with, and learn from. I hold firmly the traditional values of ethics and honesty in all affairs, and seek to build meaningful relationships with colleagues, clietns, and within the community. I implement a true servant leadership style, leading by example and making myself available to help others reach their potential. Optimal success is not achieved through disjointed individual contributions, but through teamwork and collaboration. I am extremely proud of the results I have produced with my teammates at each company I have served. I have contributed a key role in my company's growth from launch to 150 reps and $10M in revenue, seeing 20% annual growth and zero regulatory issues. My core team has been with me for 10 years in total, and am grateful for all we continue to do together. If I may assist you in reaching your personal or professional goals I would love to connect and have a conversation!
Affordable Communities Group (Acg)
View- Website:
- acgmhc.com
- Employees:
- 4
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Regional ManagerAffordable Communities Group (Acg) 2018 - Present
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Chief Operations OfficerSound Income Strategies, Llc Feb 2017 - Aug 2018Ft Lauderdale, FloridaInvestment Advisory Services offered through Sound Income Strategies, LLC, an SEC Investment Advisory Firm.
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President/CcoClient One Securities, Llc Nov 2010 - Jan 2017Leawood, KsEntrepreneurial founder and trusted leader of this financial services group who generates a consistent growth-oriented presence. Effectively built and grew the firm from inception and concept to a current roster of 150 representatives and $1.2B under management in the BD and RIA. Licensed to operate in all 50 states with 18K accounts, as a $50K Net Cap firm. Generates a consistent annual growth of 20% per year since the firms founding. Effectively and efficiently utilizes a thorough knowledge of FINRA requirements to better identify early indicators of challenges or opportunities.✔ Key contributor who designed a scalable and highly efficient workflow system utilizing a compliant supervisory approach which has dramatically improved key metrics and performance indicators. ✔ Personally selected and optimally negotiated critical agreements for Pershing to be the clearing firm. ✔ Successfully added Schwab as a custodian as well as Cognios Capital for all proprietary managed accounts, with the latter working as the third party money manager.✔ Effectively leads a high functioning team of twelve professionals, nine of which are Series 24 Registered Principals and three contractors who are providing supervision and on-site audits. -
Super Osj For Broker Dealer Financial ServicesCreative Marketing International Corporation 2006 - 2010Overland Park, KsProvided consistent and strategic financial advice on issues involving office practices, securities and securities sales, advertising, and communication guidelines as required by FINRA, SEC and the Broker Dealer. Founded and established a highly respected OSJ within CMIC to better serve the client base. Subsequently provided a consistent base of operations and administrative support for the larger FIA sales producers who had securities licenses, so they could continue to offer the same products, through the same IMO, and receive the same level of compensation. Successfully supported all recruiting, transition work, advertising approval, suitability review, onsite compliance audits, trading of stocks and bonds, relationship management, licensing, commission questions and service promotions for the broker dealer.✔ Effectively recruited and on-boarded 75 representatives across the country which subsequently became more than 20% of the broker dealer itself.✔ Received a ‘no deficiencies’ audit from FINRA.
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Senior ManagerSii Investments 1996 - 2006Appleton, WiGo-to resource and valued Subject Matter Expert (SME) who leveraged an extensive knowledge of FINRA compliance for a set of national accounts relative to the transfer of new representative’s book of business as well as their understanding of evolving best practices and an awareness of the optimal workflow of required paperwork. Quickly resolved complex issues involving trading errors, as well as advised representatives on multiple issues regarding recommendations to their clients. Concurrently led thorough compliance audits for clients on a national scale. Member of the Senior Management Team of five who helped the firm grow in gross revenue from $10M to $100M. ✔ Effectively recruited and built relationships with new representatives and subsequently trained them on updated policies and procedures.✔ Accurately processed transactions in a timely manner in a proprietary OSJ office including reviewing forms for NIGO issues, entering orders for stock trades, and signing off as principal on trades after suitability review.
Mike Tuma Skills
Mike Tuma Education Details
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Business Administration
Frequently Asked Questions about Mike Tuma
What company does Mike Tuma work for?
Mike Tuma works for Affordable Communities Group (Acg)
What is Mike Tuma's role at the current company?
Mike Tuma's current role is Regional Manager at Affordable Communities Group (ACG).
What is Mike Tuma's email address?
Mike Tuma's email address is mt****@****ies.com
What schools did Mike Tuma attend?
Mike Tuma attended Wichita State University.
What skills is Mike Tuma known for?
Mike Tuma has skills like 401k Erisa Agreements And Contracts, Adv Part I And Ii, Albridge, Arkon Crm, Cloud Computing, Dst Vision Professional, Investment Advisory Agreements, Investment Advisory Manuals, Laserapp, Microsoft Office Suite, Needs Analysis And Issue Resolution, Pershings Netx360 Platform.
Who are Mike Tuma's colleagues?
Mike Tuma's colleagues are Christina Dowell, Chris Craighead, Muhammad Muazzam, Estefany Salinas, Alyssa Conlon.
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