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Timothy S. Ome

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CRD#: 1562804
TO

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 S H Ome was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 1993. Timothy had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 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

July 29, 2010 - December 24, 2024

SYNERGY ADVISORS, LLC

BD
CRD#: 128264
EL SEGUNDO, CA
Past

May 3, 2007 - July 14, 2008

BDO CAPITAL ADVISORS, LLC

BD
CRD#: 109679
SAN JOSE, CA
Past

June 11, 1999 - May 26, 2000

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

October 7, 1994 - July 11, 1997

BANCAMERICA SECURITIES, INC.

BD
CRD#: 17977
SAN FRANCISCO, CA
Past

June 3, 1993 - November 10, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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: 5/12/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/2/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination

Current Firm

SA
SYNERGY ADVISORS, LLC
SYNERGY ADVISORS GROUP, LLC | SYNERGY ADVISORS, LLC

CRD#: 128264 / SEC#: , 8-66114

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
880 Apollo Street Suite 230, El Segundo, CA 90245
Mailing Address
880 Apollo Street Suite 230, El Segundo, CA 90245
Phone number
(310) 414-3200
Established
Delaware since 07/31/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MAGGIACOMO, ROBERT MORGANMANAGING MEMBER, CEO, REGISTERED PRINCIPAL, FINOP/CFO, CHIEF COMPLIANCE OFFICER, CHIEF LEGAL OFFICER2119666
EMSLIE, JAMES ALBERTMEMBER, PARTNER, REGISTERED PRINCIPAL, AML OFFICER3051453

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

SYNERGY ADVISORS, LLC

CRD#: 128264

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