Timothy D. Register
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 Dale Register, who also goes by Register D T, Register T, Register D Tim, Register Tim, Register D Timothy, Register Timothy, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1982. Timothy had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 3, Series 5, Series 7, Series 4, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2016 - July 30, 2018
FARMERS FINANCIAL SOLUTIONS, LLC
November 6, 2012 - October 6, 2014
WESTMORELAND CAPITAL CORPORATION
November 2, 2010 - April 19, 2011
HERITAGE ADVISORY SERVICES, INC.
November 2, 2010 - April 19, 2011
HERITAGE FINANCIAL SYSTEMS, LLC
January 22, 2009 - December 31, 2009
ARGENTUS SECURITIES, LLC
May 15, 2007 - May 23, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
May 8, 2007 - May 23, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 13, 2002 - March 31, 2006
ALLSTATE FINANCIAL SERVICES, LLC
January 23, 2002 - June 28, 2002
IDS LIFE INSURANCE COMPANY
January 23, 2002 - June 28, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
January 21, 1999 - August 30, 2001
UBS FINANCIAL SERVICES INC.
October 12, 1987 - June 18, 1998
JOHN HANCOCK DISTRIBUTORS LLC
July 6, 1983 - April 2, 1986
PRUDENTIAL EQUITY GROUP, LLC
December 21, 1982 - June 17, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 15
Date: 5/8/1984
Foreign Currency Options ExaminationSeries 5
Date: 1/27/1983
Interest Rate Options ExaminationCurrent Firm
FARMERS FINANCIAL SOLUTIONS, LLC
CRD#: 103863 / SEC#: 801-108217, 8-52361
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FFS HOLDING, LLC | MANAGING MEMBER | |
| BORKIN, JOSHUA ALAN | CHIEF FINANCIAL OFFICER | 6536355 |
| DAHM, CHRISTINE | BOARD MEMBER | 8191792 |
| DO, CHAU | SECRETARY | 7865522 |
| HANSON, GUY MEADE | BOARD MEMBER | 7165729 |
| HOHL, DOREN EUGENE | BAORD MEMBER | 1953425 |
| ROBINSON, TARETHA ANN | CHIEF COMPLIANCE OFFICER | 4539081 |
| ROBINSON, TARETHA ANN | DIRECTOR OF OPERATIONS | 4539081 |
| SCHEAR, ZACHARY | PRESIDENT | 5958762 |
| SCOTT, JANICE GALE | BOARD MEMBER | 7909854 |
| WILLOUGHBY, DENITA ANNETTE | BOARD MEMBER | 2368099 |
Disclosures
| Regulatory Event | 5 |
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.
