Timothy J. Dooley
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 James Dooley, who also goes by Tim Dooley, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1984. Timothy had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - April 17, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 13, 2002 - November 3, 2009
COMPREHENSIVE RETIREMENT RESOURCES, INC.
March 16, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - April 17, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 12, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
September 5, 1985 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
September 5, 1985 - May 13, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 5, 1985 - May 13, 1997
OSAIC FA, INC.
November 21, 1984 - December 8, 1986
LEADERTECH SECURITIES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
