Timothy James Wright
Professional Summary
Timothy James Wright, who also goes by Tim Wright, Timothy James Wright, Timothy Wright, was a registered financial advisor. Timothy was a previously registered financial professional and started their career in finance 1985 - 2022. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tim Wright, Timothy James Wright, Timothy Wright
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
Contact Information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858Phone Number
(203) 599-6000Established
Connecticut since 04/07/1993Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,839SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US 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 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| REID, SHANNON | DIRECTOR | 4815189 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory Assets Under Management
Total Number of Accounts
11,892AUM (Assets Under Management)
$6,494,001,878Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2004About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jul 2004About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary)
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