Timothy A. Kolis
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 Anthony Kolis was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1985. Timothy had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2016 - April 6, 2016
FIRST BROKERAGE AMERICA, L.L.C.
November 16, 2015 - April 6, 2016
FIRST BROKERAGE AMERICA, L.L.C.
January 21, 2014 - March 18, 2015
CETERA INVESTMENT ADVISERS LLC
March 22, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
January 28, 2013 - March 18, 2015
CETERA INVESTMENT SERVICES LLC
March 29, 2005 - November 5, 2012
COMMERCE BROKERAGE SERVICES, INC.
January 6, 1999 - May 20, 2002
MELVIN SECURITIES, L.L.C.
May 27, 1998 - September 25, 1998
WINGSPAN INVESTMENT SERVICES
January 23, 1989 - January 1, 1997
BANC ONE CAPITAL MARKETS, INC.
November 12, 1987 - October 28, 1988
WINGSPAN INVESTMENT SERVICES
August 20, 1985 - October 7, 1986
CHAPDELAINE TULLETT PREBON, LLC
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
FIRST BROKERAGE AMERICA, L.L.C.
CRD#: 43431 / SEC#: , 8-50271
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ELLEN C. DIERBERG FAMILY TRUST | OWNER | |
| JAMES F. DIERBERG II FAMILY TRUST | OWNER | |
| MICHAEL J. DIERBERG FAMILY TRUST | OWNER | |
| DIERBERG, MARY WELP | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | 4053054 |
| FIRST BANKS, INC | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | |
| FURMAN, EDWARD DAVID | MSRB PRINCIPAL | 1426353 |
| PRESSON, DAVID ALAN | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER | 1237920 |
| ROBERTS, SARAH ANN | OPERATIONS MANAGER | 2472587 |
| TODD, EUGENE REEVES | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 2639876 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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