Timothy Steven Stearns
Professional Summary
Timothy Steven Stearns is a registered financial advisor currently at TOUCHSTONE ADVISORS INC located in Cincinnati, Ohio and W&S BROKERAGE SERVICES, INC. located in Cincinnati, Ohio. Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Timothy has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 14, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
TOUCHSTONE ADVISORS INC
Contact Information
Main Address
303 Broadway Suite 1100, Cincinnati, OH 45202-4203Phone Number
(513) 362-8000# of Employees
86SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
40AUM (Assets Under Management)
$31,091,453,599Similar Advisors
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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.
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Primary Firm SEC Registration
TOUCHSTONE ADVISORS INC
State Registrations and Notice Filings
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Timothy Steven Stearns's CRS (Customer Relationship Summary).
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