Timothy F. Bell
Professional summary
Timothy Franklin Bell was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Timothy is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Timothy had worked at 15 firms, which includes STERLING FINANCIAL INVESTMENT GROUP INC., NATIONAL SECURITIES CORPORATION, THE AGEAN GROUP INC, RICHMARK CAPITAL CORPORATION, H.J. MEYERS & CO. INC., BARRON CHASE SECURITIES INC., ROTH CAPITAL PARTNERS LLC, CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL EQUITY GROUP LLC, UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., J.P. MORGAN SECURITIES LLC, F.D. ROBERTS SECURITIES INC., KIDDER PEABODY & CO. INCORPORATED, FIRST JERSEY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2001 - December 31, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
September 12, 2000 - February 1, 2001
NATIONAL SECURITIES CORPORATION
August 1, 1999 - September 25, 2000
THE AGEAN GROUP, INC
December 21, 1998 - May 25, 1999
RICHMARK CAPITAL CORPORATION
July 2, 1997 - October 5, 1998
H.J. MEYERS & CO., INC.
March 1, 1997 - June 9, 1997
BARRON CHASE SECURITIES, INC.
March 27, 1996 - February 21, 1997
ROTH CAPITAL PARTNERS, LLC
March 29, 1994 - February 29, 1996
CITIGROUP GLOBAL MARKETS INC.
October 16, 1992 - March 14, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 9, 1992 - October 15, 1992
UBS FINANCIAL SERVICES INC.
November 19, 1990 - March 10, 1992
LEHMAN BROTHERS INC.
April 8, 1989 - November 15, 1990
J.P. MORGAN SECURITIES LLC
November 25, 1987 - October 2, 1989
F.D. ROBERTS SECURITIES, INC.
October 2, 1986 - November 19, 1987
KIDDER, PEABODY & CO. INCORPORATED
February 21, 1985 - July 24, 1986
FIRST JERSEY SECURITIES, INC.
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
STERLING FINANCIAL INVESTMENT GROUP, INC.
CRD#: 41506 / SEC#: , 8-49503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.) | COMPANY | |
| GARCIA, CHARLES PATRICK | CHIEF EXECUTIVE OFFICER | 2933864 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Red Flags
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