Timothy J. Grimes
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 John Grimes 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 65, Series 63, Series 79TO, SIE, Series 7, Series 22 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2009 - September 30, 2025
NEWEDGE SECURITIES, LLC
February 15, 2000 - September 18, 2009
SECURITIES SERVICE NETWORK, LLC
April 23, 1997 - October 1, 2026
GRIMES & COMPANY
December 16, 1989 - February 11, 2000
LPL FINANCIAL LLC
February 1, 1989 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
April 19, 1985 - February 13, 1989
COMMONWEALTH FINANCIAL NETWORK
December 24, 1984 - April 30, 1985
NEW ENGLAND SECURITIES
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
What does exam status mean?
Series 79TO
Passed: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 22
Passed: 3/22/1985
Series 6
Passed: 12/21/1984
Current Firm
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | CHIEF FINANCIAL OFFICER, TREASURER AND DIRECTOR | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| JESSE, JAMES WILLIAM JR. | DIRECTOR | 4244855 |
| SMITH, KYLE PETER | PRESIDENT AND DIRECTOR | 2142563 |
| TIMMERMAN, ERIN NICOLE | GENERAL COUNSEL | 6387118 |
Disclosures
| Regulatory Event | 9 |
| Civil 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.
