Timothy J. Carmichael
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 John Carmichael was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1983. Timothy had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2004 - May 27, 2004
OBSIDIAN FINANCIAL GROUP, LLC
August 9, 2001 - February 13, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 12, 1998 - June 22, 2001
LEGG MASON WOOD WALKER, INCORPORATED
July 1, 1998 - December 15, 1998
COWEN AND COMPANY
May 13, 1992 - July 1, 1998
FINANCIAL SQUARE PARTNERS
September 23, 1985 - June 23, 1992
CIBC WORLD MARKETS CORP.
October 19, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 6, 1983 - October 11, 1985
LEHMAN BROTHERS INC.
March 22, 1983 - August 25, 1983
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
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
OBSIDIAN FINANCIAL GROUP, LLC
CRD#: 104255 / SEC#: , 8-52756
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 9 |
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.
