TS
Timothy S. Stearns
TOUCHSTONE ADVISORS
CINCINNATI, OH 45202-4203
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CRD#: 1327230
TS
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 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 14, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Name of other business: Greater Cincinnati Mutual Fund Association; Investment Related: Yes; Address of other business: PO Box 31206 Cincinnati OH 45231; Nature: Forum for industry professionals; Position: Board Member; Start Date: 4/30/2021; Approximate number of hours per month: 1; 0 hours during trading hours; Duties include: Board duties, no finance or investment)
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Steven Stearns's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 11, 2013 - Present
TOUCHSTONE ADVISORS INC
Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202-4203RIA
CRD#: 107028
CINCINNATI, OH
Current
October 23, 2018 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 303 Broadway 16th Floor, Cincinnati, OH 45202RIA
BD
CRD#: 8099
Cincinnati, OH
Current
August 27, 2013 - Present
TOUCHSTONE SECURITIES, INC.
Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202BD
CRD#: 1526
CINCINNATI, OH
Current
February 3, 2016 - Present
W&S BROKERAGE SERVICES, INC.
Office #1: 303 Broadway 16th Floor, Cincinnati, OH 45202RIA
BD
CRD#: 8099
Cincinnati, OH
Past
September 3, 2013 - August 4, 2014
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
CINCINNATI, OH
Past
August 6, 2009 - September 6, 2013
ENVESTNET PMC
RIA
CRD#: 111694
CHICAGO, IL
Past
August 6, 2009 - September 6, 2013
PORTFOLIO BROKERAGE SERVICES, INC.
BD
CRD#: 18554
CHICAGO, IL
Past
April 17, 2007 - July 6, 2009
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
BD
CRD#: 13594
FORT LAUDERDALE, FL
Past
January 9, 1998 - April 23, 2007
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
BD
CRD#: 27884
FORT LAUDERDALE, FL
Past
July 25, 1997 - December 17, 1997
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
January 29, 1987 - July 18, 1987
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
Past
March 19, 1986 - December 23, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TOUCHSTONE ADVISORS INC
TOUCHSTONE ADVISORS INC
CRD#: 107028 / SEC#: 801-45963
RIA
Registered Investment Advisory firm - (2/28/1994 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/3/2016)
RR
Alaska(2/3/2016)
RR
Arizona(2/3/2016)
RR
Arkansas(2/3/2016)
RR
California(2/3/2016)
RR
Colorado(2/3/2016)
RR
Connecticut(2/3/2016)
RR
Delaware(2/3/2016)
RR
District of Columbia(2/3/2016)
RR
Florida(2/3/2016)
RR
Georgia(2/3/2016)
RR
Hawaii(2/3/2016)
RR
Idaho(2/3/2016)
RR
Illinois(2/3/2016)
RR
Indiana(2/3/2016)
RR
Iowa(2/3/2016)
RR
Kansas(2/3/2016)
RR
Kentucky(2/29/2016)
RR
Louisiana(2/3/2016)
RR
Maine(2/3/2016)
RR
Maryland(2/3/2016)
RR
Massachusetts(2/3/2016)
RR
Michigan(2/3/2016)
RR
Minnesota(2/3/2016)
RR
Mississippi(2/3/2016)
RR
Missouri(2/3/2016)
RR
Montana(2/3/2016)
RR
Nebraska(2/3/2016)
RR
Nevada(2/3/2016)
RR
New Hampshire(2/3/2016)
RR
New Jersey(2/3/2016)
RR
New Mexico(2/3/2016)
RR
New York(2/3/2016)
RR
North Carolina(2/3/2016)
RR
North Dakota(2/3/2016)
IAR
Ohio(9/11/2013)
RR
Ohio(2/29/2016)
RR
Oklahoma(2/3/2016)
RR
Oregon(2/3/2016)
RR
Pennsylvania(2/3/2016)
RR
Puerto Rico(2/3/2016)
RR
Rhode Island(2/3/2016)
RR
South Carolina(2/3/2016)
RR
South Dakota(2/3/2016)
RR
Tennessee(2/3/2016)
RR
Texas(2/10/2016)
RR
Utah(2/3/2016)
RR
Vermont(2/3/2016)
RR
Virginia(2/3/2016)
RR
Washington(2/3/2016)
RR
West Virginia(2/3/2016)
RR
Wisconsin(2/3/2016)
RR
Wyoming(2/3/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TOUCHSTONE ADVISORS INC
TOUCHSTONE ADVISORS INC
CRD#: 107028 / SEC#: 801-45963
RIA
Registered Investment Advisory firm - (2/28/1994 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
303 Broadway Suite 1100, Cincinnati, OH 45202-4203
Mailing Address
Phone number
(513) 362-8000
Established
Firm type
Fiscal year end
# of Employees
83
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41 |
| AUM (Assets Under Management) | $ 29,132,797,072 |
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.
Company Information
TOUCHSTONE ADVISORS INC
CRD#: 107028Cincinnati, OH 45202-4203TRUST BUT VERIFY
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