Timothy M. White
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 Michael White was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1983. Timothy had worked at 10 firms and has passed the Series 63, SIE 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
January 12, 2009 - October 1, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 9, 2009 - October 1, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 1, 2008 - January 26, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - January 26, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1997 - January 1, 2008
A. G. EDWARDS & SONS, INC.
August 15, 1995 - January 3, 2008
A. G. EDWARDS & SONS, INC.
December 20, 1994 - August 22, 1995
MACKEN SECURITIES, INC.
March 1, 1994 - November 8, 1994
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 12, 1991 - March 16, 1994
G. R. PHELPS & CO., INC.
November 6, 1989 - March 8, 1991
UBS FINANCIAL SERVICES INC.
December 20, 1988 - November 13, 1989
AMERIPRISE ADVISOR SERVICES, INC.
June 29, 1988 - December 7, 1988
CAPITAL BROKERAGE CORPORATION
January 30, 1985 - July 16, 1988
UBS FINANCIAL SERVICES INC.
July 20, 1983 - January 18, 1985
INTERFIRST CAPITAL CORPORATION
Primary Firm SEC Registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
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
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
