TM
Timothy S. Mickey
AVISO WEALTH MANAGEMENT
Doylestown, PA 18901
Some features on this profile are disabled
CRD#: 1028056
TM
Professional summary
Timothy Stuart Mickey, AIF®, CFP®, who also goes by Tim Mickey, is a registered financial advisor currently at AVISO WEALTH MANAGEMENT located in Doylestown, Pennsylvania and OSAIC WEALTH, INC. located in Doylestown, Pennsylvania.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Timothy has worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Mickey
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. AVISO FINANCIAL, LLC POSITION: V President NATURE: DBA for broker dealer related business. It is an LLC holding company INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/28/2015 ADDRESS: 252 W Swamp Road, Unit 28, Doylestown PA 18901, United States DESCRIPTION: Manage client portfolios 2. AVISO FINANCIAL CENTER POSITION: Advisor NATURE: DBA for the Osaic brokerage business from the Northumberland? branch office INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/28/2015 ADDRESS: 227 Point Township Drive, Northumberland PA 17857, United States DESCRIPTION: Provide financial advice to clients 3. AVISO TAX SERVICES, LLC POSITION: Rep NATURE: LLC Tax Preperation INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 05/01/2021 ADDRESS: 227 Point Township Drive, Northumberland PA 17857, United States DESCRIPTION: I may refer clients to this company for tax preparation. I receive no compensation for doing so. 4. AVISO WEALTH MANAGEMENT POSITION: Advisor NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/25/2015 ADDRESS: 11900 NE 1st Street Suite 300, Belleview WA 89005, United States DESCRIPTION: Provide investment advise and manage client portfolios
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Stuart Mickey's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1989
Experience
Current
January 3, 2017 - Present
AVISO WEALTH MANAGEMENT
Office #1: 252 W Swamp Rd Unit 28, Doylestown, PA 18901RIA
CRD#: 108146
Doylestown, PA
Current
September 29, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 252 W Swamp Rd Suite 28, Doylestown, PA 18901Office #2: 227 Point Township Drive, Northumberland, PA 17857RIA
BD
CRD#: 23131
Doylestown, PA
Past
September 8, 2022 - October 3, 2023
CETERA ADVISORS LLC
BD
CRD#: 10299
Doylestown, PA
Past
November 12, 2020 - October 3, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Selinsgrove, PA
Past
June 10, 2013 - December 31, 2016
AVISO WEALTH MANAGEMENT
RIA
CRD#: 108146
BETHESDA, MD
Past
April 29, 2013 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
WARMINSTER, PA
Past
April 29, 2013 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
Doylestown, PA
Past
August 17, 2012 - April 29, 2013
MONUMENT WEALTH MANAGEMENT
RIA
CRD#: 159882
ALEXANDRIA, VA
Past
May 23, 2008 - August 17, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALEXANDRIA, VA
Past
May 23, 2008 - May 8, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
ALEXANDRIA, VA
Past
January 21, 1999 - May 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WASHINGTON, DC
Past
December 18, 1998 - May 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WASHINGTON, DC
Past
July 9, 1994 - December 3, 1998
DMG SECURITIES, INC.
BD
CRD#: 15480
GREAT FALLS, VA
Past
May 16, 1988 - July 14, 1994
F.N. WOLF & CO., INC.
BD
CRD#: 13051
Past
February 2, 1987 - May 18, 1988
SHERWOOD CAPITAL, INC.
BD
CRD#: 10474
Past
March 2, 1982 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AW
AVISO WEALTH MANAGEMENT
AVISO WEALTH MANAGEMENT | POTOMAC INVESTMENTS, INC. | MARCIA JOSLYN SILL, INC. | M.J. INVESTMENT ADVISORS | M.J. INVESTMENT ADVISERS | M. J. INVESTMENT ADVISERS
CRD#: 108146 / SEC#: 801-56358
RIA
Registered Investment Advisory firm - (3/22/1999 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/24/2024)
RR
California(12/12/2023)
RR
Colorado(9/29/2023)
RR
Connecticut(2/29/2024)
RR
Delaware(9/29/2023)
RR
District of Columbia(9/29/2023)
RR
Florida(9/29/2023)
RR
Illinois(2/7/2024)
RR
Louisiana(9/29/2023)
IAR
Maryland(1/3/2017)
RR
Maryland(9/29/2023)
RR
Massachusetts(2/6/2024)
RR
Missouri(9/29/2023)
RR
Nevada(1/2/2024)
RR
New Jersey(9/29/2023)
IAR
New Jersey(10/10/2023)
RR
New York(9/29/2023)
RR
North Carolina(10/4/2023)
RR
Ohio(1/3/2024)
RR
Pennsylvania(9/29/2023)
IAR
Pennsylvania(10/10/2023)
RR
South Carolina(10/3/2023)
RR
Virginia(9/29/2023)
IAR
Virginia(10/10/2023)
RR
Washington(9/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
AVISO WEALTH MANAGEMENT
AVISO WEALTH MANAGEMENT | POTOMAC INVESTMENTS, INC. | MARCIA JOSLYN SILL, INC. | M.J. INVESTMENT ADVISORS | M.J. INVESTMENT ADVISERS | M. J. INVESTMENT ADVISERS
CRD#: 108146 / SEC#: 801-56358
RIA
Registered Investment Advisory firm - (3/22/1999 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
11900 Ne 1st St Suite 300, Bellevue, WA 98005
Mailing Address
Phone number
(877) 633-1210
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,904 |
| AUM (Assets Under Management) | $ 494,946,434 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
