Timothy S. Spees
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 Scott Spees, who also goes by Tim S Spees, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2008. Timothy had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2018 - May 5, 2021
LIFEMARK SECURITIES CORP.
October 25, 2018 - May 5, 2021
LIFEMARK SECURITIES CORP.
July 20, 2015 - October 29, 2018
FORESTERS EQUITY SERVICES, INC.
July 20, 2015 - October 29, 2018
FORESTERS EQUITY SERVICES, INC.
March 11, 2015 - June 16, 2015
GRADIENT SECURITIES, LLC
March 11, 2015 - June 16, 2015
GRADIENT SECURITIES, LLC
November 14, 2013 - March 9, 2015
QUESTAR CAPITAL CORPORATION
November 11, 2013 - March 9, 2015
QUESTAR ASSET MANAGEMENT, INC.
September 9, 2013 - November 11, 2013
BROOKSTONE WEALTH ADVISORS, LLC
April 6, 2011 - March 5, 2012
PNC WEALTH MANAGEMENT LLC
March 21, 2011 - March 5, 2012
PNC WEALTH MANAGEMENT LLC
May 3, 2010 - September 9, 2010
SECURIAN FINANCIAL SERVICES, INC.
April 30, 2010 - September 9, 2010
SECURIAN FINANCIAL SERVICES, INC.
June 22, 2009 - April 21, 2010
WFG ADVISORS, LP
June 22, 2009 - April 21, 2010
WFG INVESTMENTS, INC.
February 26, 2009 - June 4, 2009
VALIC FINANCIAL ADVISORS, INC.
August 15, 2008 - June 4, 2009
VALIC FINANCIAL ADVISORS, INC.
June 12, 2008 - July 11, 2008
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
