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Tim L. Wolf

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CRD#: 1261588
TW

Professional summary

Tim Lee Wolf was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Tim is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Tim had worked at 4 firms, which includes FINANCIAL CONCEPTS, OSAIC WEALTH INC., INTEGRATED RESOURCES EQUITY CORPORATION, CINCINNATI ANALYSTS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tim L Wolf | Timothy Lee Wolf

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.
The advisor shows no other business activity.

Blog Corner

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®
None

Experience

Past

February 23, 2000 - December 31, 2004

FINANCIAL CONCEPTS

RIA
CRD#: 122342
CHANDLER, AZ
Past

November 19, 1989 - June 27, 2002

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

October 18, 1985 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

April 18, 1984 - August 9, 1985

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478

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
IAR
Series 65
Date: 10/14/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/11/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/23/1989
General Securities Principal Examination

Current Firm

FC
FINANCIAL CONCEPTS
DBA FINANCIAL CONCEPTS | FINANCIAL CONCEPTS | FINANCIAL CONCEPTS, INC. | TLW ENTERPRISES, INC.

CRD#: 122342 / SEC#: 801-64353

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Contact information

Main Address
3195 West Ray Road Suite 9, Chandler, AZ 85226
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISORY & MANAGEMENT DISCLOSURE DOCUMENT (3/30/2012)

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

FINANCIAL CONCEPTS

CRD#: 122342

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