Timothy S. Mcgugan
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 Shannon Mcgugan was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1984. Timothy had worked at 7 firms and has passed the Series 63, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2020 - June 25, 2021
DV SECURITIES, LLC
April 29, 2016 - September 25, 2020
LUPO SECURITIES, LLC
July 15, 2014 - May 2, 2016
LUPO FUTURES, LLC
May 13, 2011 - June 30, 2014
G-BAR LIMITED PARTNERSHIP
September 3, 1993 - December 3, 2003
RBC CAPITAL MARKETS CORPORATION
October 20, 1992 - August 7, 1993
O'CONNOR & ASSOCIATES
September 24, 1984 - May 14, 1987
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
DV SECURITIES, LLC
CRD#: 305134 / SEC#: , 8-70393
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
