Tim L. Engberg
Professional summary
Tim Lee Engberg is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tim Lee Engberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 20, 2012 - Present
THE TIDAL GROUP, INC.
Office #1: 5501 Mid Cities Parkway, Suite 100, Schertz, TX 78154-2413February 22, 2010 - November 8, 2012
TRINITY SECURITIES, INC.
January 26, 2007 - January 7, 2010
EMERALD VENTURES, LLC
September 6, 2006 - January 25, 2007
LONE STAR SECURITIES, INC.
July 20, 1995 - November 28, 2005
SECURITIES AMERICA, INC.
September 29, 1994 - July 27, 1995
MORGAN STANLEY DW INC.
July 18, 1988 - October 6, 1994
RAUSCHER PIERCE REFSNES, INC.
December 23, 1985 - July 28, 1988
CITIGROUP GLOBAL MARKETS 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
(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
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationFINRA
Current Firm
THE TIDAL GROUP, INC.
CRD#: 39782 / SEC#: , 8-48809
Contact information
FINRA licenses (47 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
