Timothy A. Romig
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 Allen Romig was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1983. Timothy had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 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
March 17, 2006 - January 5, 2015
KALOS CAPITAL, INC.
March 13, 2006 - January 5, 2015
KALOS MANAGEMENT
January 4, 2005 - March 8, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
July 1, 2002 - March 8, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
May 4, 1983 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
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
KALOS CAPITAL, INC.
CRD#: 44337 / SEC#: , 8-50630
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALOS FINANCIAL, INC. | OWNER | |
| WILDERMUTH, CAROL JEAN | CEO, CFO, CCO | 1555730 |
Disclosures
| Regulatory Event | 3 |
| Financial | 1 |
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.
