TW
Timothy J. Wright
Some features on this profile are disabled
CRD#: 1178254
TW
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 James Wright, who also goes by Tim Wright, Timothy James Wright, Timothy Wright, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1985. Timothy had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tim Wright | Timothy James Wright | Timothy Wright
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.
1.)*88229 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SHINY MOOSE PROPERTIES INVESTMENT RELATED: N ADDRESS OF BUSINESS: WILMINGTON, NORTH CAROLINA NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 10/01/2013 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: LLC HOLDING RENTAL PROPERTY 2.)*88230 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PORPOISE PROPERTIES INVESTMENT RELATED: N ADDRESS OF BUSINESS: WILMINGTON, NORTH CAROLINA NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 11/4/2013 NUMBER OF HOURS DEVOTED: 6 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: LLC FOR HOLDING BEACH RENTAL HOUSE 3.)*1504 FOR PROFIT OR NOT FOR PROFIT: GOVERNMENTAL OR PUBLIC PURPOSE ENTITY NAME OF OUTSIDE BUSINESS ORGANIZATION: FINRA DISPUTE RESOLUTION INVESTMENT RELATED: Y ADDRESS OF BUSINESS: BOCA RATON, FLORIDA NATURE OF BUSINESS: SRO SECURITIES INDUSTRY, POSITION, TITLE, ASSOCIATION: INDUSTRY ARBITRATOR, START DATE OF RELATIONSHIP: 10/5/1992 NUMBER OF HOURS DEVOTED: 8 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 8 DUTIES: ARBITRATE SECURITIES RELATED MATTERS 4.) Name of outside business: Water World (Scuba Instructor) Business is not investment related. Address: Durham, NC Position: SCUBA Instructor Start Date: 07-13-19 Hours/month: 8 Hours during market hours: 0 Duties: Teach SCUBA Diving classes 5.)Name of Business: USA Hockey Not investment related Address: Colorado Springs, CO Position: Ice hockey Official Hours during market hours: 0 Hours/month: 8 Duties: Officiate Ice Hockey Games
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 25, 2019 - December 22, 2022
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
Raleigh, NC
Past
July 17, 2019 - December 22, 2022
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
Raleigh, NC
Past
November 30, 2017 - July 1, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BALTIMORE, MD
Past
November 30, 2017 - July 1, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BALTIMORE, MD
Past
November 19, 2015 - June 14, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HUNT VALLEY, MD
Past
November 18, 2015 - June 14, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HUNT VALLEY, MD
Past
June 3, 2008 - November 2, 2015
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
WILMINGTON, NC
Past
June 3, 2008 - November 2, 2015
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
WILMINGTON, NC
Past
August 20, 2007 - May 27, 2008
FIRST LEGACY SECURITIES, LLC
RIA
CRD#: 47079
CHAPEL HILL, NC
Past
August 20, 2007 - May 27, 2008
FIRST LEGACY SECURITIES, LLC
BD
CRD#: 47079
CHAPEL HILL, NC
Past
February 15, 2006 - June 22, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
RALEIGH, NC
Past
November 17, 2005 - June 22, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
RALEIGH, NC
Past
June 6, 2003 - November 21, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RALEIGH, NC
Past
June 6, 2003 - November 21, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RALEIGH, NC
Past
December 31, 2001 - June 3, 2003
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
RALEIGH, NC
Past
October 6, 1999 - June 3, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 3, 1998 - December 7, 1998
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
CHARLOTTE, NC
Past
January 16, 1998 - April 9, 1998
MARION BASS SECURITIES CORPORATION
BD
CRD#: 7961
CHARLOTTE, NC
Past
March 11, 1994 - January 1, 1998
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
July 20, 1989 - February 22, 1994
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
June 18, 1986 - July 1, 1989
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
February 21, 1985 - June 24, 1986
MONY SECURITIES CORPORATION
BD
CRD#: 4386
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
