Timothy J. Tollander
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy Jon Tollander was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1982. Timothy had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2002 - September 21, 2020
THE LEADERS GROUP, INC.
January 2, 1998 - March 28, 2002
WATERSTONE FINANCIAL GROUP, INC.
September 15, 1993 - January 1, 1998
TRANSAMERICA FINANCIAL ADVISORS, INC.
October 1, 1991 - November 23, 1993
JOHN HANCOCK DISTRIBUTORS LLC
March 24, 1988 - September 23, 1989
G. R. PHELPS & CO., INC.
July 19, 1982 - March 15, 1988
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
