Tim Lee Engberg
Professional Summary
Tim Lee Engberg is a registered financial advisor currently at THE TIDAL GROUP, INC. located in Schertz, Texas. Tim is registered as a RR (Registered Representative) and started their career in finance in 1985. Tim has worked at 8 firms and has passed the Series 63, Series 22TO, SIE and Series 7 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
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
THE TIDAL GROUP, INC.
Contact Information
Main Address
5501 Mid Cities Parkway, Suite 100, Schertz, TX 78154-2413Mailing Address
5501 Mid Cities Parkway, Suite 100, Schertz, TX 78154-2413Phone Number
(210) 659-1446Established
Texas since 02/23/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (48 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NOVIKOFF, LEE MICHAEL | CHIEF COMPLIANCE OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, PRESIDENT, SECRETARY, TREASURER, PRINCIPAL | 2684973 |
| HOBSON, HARRY MICHAEL | PRINCIPAL | 2802434 |
| PEACOCK, LINDA M | PRINCIPAL | 3226616 |
| RUBAR, CORY DANIEL | PRINCIPAL | 7943530 |
| TEAGUE, DARIN RAY | PRINCIPAL | 4334593 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/9/2013)
(1/9/2013)
(11/20/2012)
(7/29/2015)
(3/31/2015)
(12/12/2012)
(5/16/2018)
(1/9/2013)
(1/9/2013)
(1/19/2016)
(1/19/2016)
(8/5/2015)
(2/8/2016)
(1/9/2013)
(1/9/2013)
(1/19/2016)
(8/3/2015)
(1/9/2013)
(1/9/2013)
(11/20/2012)
(1/9/2013)
(1/19/2016)
(11/20/2012)
(5/16/2018)
(3/31/2015)
(1/9/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Tim Lee Engberg's CRS (Customer Relationship Summary).
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