Timothy Joseph Weitzel
Professional Summary
Timothy Joseph Weitzel is a registered financial advisor currently at WEITZEL FINANCIAL SERVICES, INC. located in Dubuque, Iowa. 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 2 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 14, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Current Firm
WEITZEL FINANCIAL SERVICES | WEITZEL FINANCIAL SERVICES, INC.
Contact Information
Main Address
1200 Cedar Cross Rd, Dubuque, IA 52003Mailing Address
1200 Cedar Cross Rd, Dubuque, IA 52003-0306Phone Number
(563) 583-6020Established
Iowa since 08/01/1990Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
4SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
FINRA licenses (11 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
1,134AUM (Assets Under Management)
$327,771,408Similar Advisors
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
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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.
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Primary Firm SEC Registration
WEITZEL FINANCIAL SERVICES | WEITZEL FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
(8/11/2011)
(1/12/2015)
(1/12/1999)
(1/3/2025)
(1/15/1991)
(8/29/2016)
(1/14/1991)
(8/23/2016)
(2/1/2011)
(7/21/2026)
(7/5/2018)
(1/31/1991)
(8/31/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Timothy Joseph Weitzel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Joseph Weitzel's CRS (Customer Relationship Summary).
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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