Timothy J. Ryan
Professional summary
Timothy John Ryan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Timothy is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Timothy had worked at 15 firms, which includes VANGUARD CAPITAL, AUERBACH POLLAK & RICHARDSON INC., DIRKS & COMPANY INC., ARJENT LTD., ROAN CAPITAL PARTNERS L.P., BLUESTONE CAPITAL CORP., BISHOP ROSEN & CO. INC., D. BLECH & COMPANY INCORPORATED, T.R. WINSTON & COMPANY LLC, HAMPSHIRE SECURITIES CORPORATION, LEHMAN BROTHERS INC., CAPITAL HILL GROUP INC., CIBC WORLD MARKETS CORP., HAMBRECHT & QUIST LLC, BROADCHILD SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2001 - April 4, 2002
VANGUARD CAPITAL
March 23, 2001 - October 22, 2001
AUERBACH, POLLAK & RICHARDSON INC.
January 25, 1999 - December 31, 2000
DIRKS & COMPANY, INC.
December 18, 1997 - March 15, 1999
ARJENT LTD.
February 27, 1996 - November 24, 1997
ROAN CAPITAL PARTNERS L.P.
December 7, 1994 - February 26, 1996
BLUESTONE CAPITAL CORP.
October 7, 1994 - December 14, 1994
BISHOP, ROSEN & CO., INC.
January 11, 1994 - September 20, 1994
D. BLECH & COMPANY, INCORPORATED
September 3, 1993 - January 11, 1994
T.R. WINSTON & COMPANY, LLC
October 22, 1992 - September 9, 1993
HAMPSHIRE SECURITIES CORPORATION
November 27, 1991 - October 20, 1992
D. BLECH & COMPANY, INCORPORATED
February 15, 1990 - November 25, 1991
LEHMAN BROTHERS INC.
December 13, 1988 - February 15, 1990
CAPITAL HILL GROUP, INC.
December 1, 1988 - December 19, 1988
CIBC WORLD MARKETS CORP.
January 7, 1988 - December 20, 1988
HAMBRECHT & QUIST LLC
March 18, 1985 - January 28, 1988
LEHMAN BROTHERS INC.
February 27, 1984 - March 20, 1985
BROADCHILD SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VANGUARD CAPITAL
CRD#: 22081 / SEC#: 801-71971, 8-39450
Contact information
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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