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Timothy T. Philosophos

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CRD#: 1410153
TP

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 Torger Philosophos was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 1985. Timothy had worked at 9 firms and has passed the Series 63, Series 7, Series 3, Series 15 and Series 5 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 9, 2011 - July 24, 2012

RODMAN & RENSHAW, LLC

BD
CRD#: 16415
CHICAGO, IL
Past

July 20, 2010 - September 6, 2011

MADISON WILLIAMS AND COMPANY

BD
CRD#: 149530
CHICAGO, IL
Past

January 16, 2008 - January 11, 2010

SINCLAIR & COMPANY, LLC

BD
CRD#: 133754
DARIEN, CT
Past

January 20, 1999 - June 29, 2007

JEFFERIES LLC

BD
CRD#: 2347
CHICAGO, IL
Past

February 25, 1998 - February 2, 1999

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

June 7, 1996 - March 9, 1998

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 30, 1992 - May 21, 1996

CLEARY GULL REILAND & MCDEVITT INC.

BD
CRD#: 18716
MILWAUKEE, WI
Past

February 8, 1988 - April 19, 1989

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

October 22, 1985 - January 12, 1988

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/24/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 1/8/1986
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 15
Date: 12/31/1985
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 5
Date: 12/12/1985
Interest Rate Options Examination

Current Firm

R&
RODMAN & RENSHAW, LLC
CANTOR CAPITAL CORP. | RODMAN & RENSHAW, LLC | RODMAN & RENSHAW, INC.

CRD#: 16415 / SEC#: , 8-33862

BD
Terminated by SEC on 11/13/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/20/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DIRECT MARKETS HOLDING CORP.100 % OWNER
HECHLER, RANDY JAYCHIEF COMPLIANCE OFFICER2292597
HORIN, DAVID JAYCHIEF FINANCIAL OFFICER4655861
RUBIN, EDWARDCHIEF EXECUTIVE OFFICER - EXECUTIVE REPRESENTATIVE4121597
RUBIN, EDWARDDIRECTOR4121597

Disclosures

Regulatory Event4

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

RODMAN & RENSHAW, LLC

CRD#: 16415

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