Timothy P. Anderson

DELTA INVESTMENT MANAGEMENT

San Francisco, CA 94111

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CRD#: 1605230

Professional summary

Timothy Patrick Anderson, who also goes by Tim Patrick Anderson, Tim Anderson, is a registered financial advisor currently at DELTA INVESTMENT MANAGEMENT, LLC located in San Francisco, California.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Timothy has worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tim Patrick Anderson | Tim Anderson

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) - RIA

Click below to view Timothy Patrick Anderson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

April 18, 2024 - Present

DELTA INVESTMENT MANAGEMENT, LLC

Office #1: 708 Montgomery Street, San Francisco, CA 94111

RIA

CRD#: 149596

San Francisco, CA

Past

October 18, 2019 - April 17, 2024

DELTA INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 149596

San Francisco, CA

Past

May 26, 2015 - October 25, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

SAN FRANCISCO, CA

Past

May 22, 2015 - October 25, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

SAN FRANCISCO, CA

Past

September 10, 2007 - June 3, 2015

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

SAN FRANCISCO, CA

Past

September 10, 2007 - June 3, 2015

OPPENHEIMER & CO. INC.

CRD#: 249

SAN FRANCISCO, CA

Past

April 2, 2007 - September 10, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SAN FRANCISCO, CA

Past

April 2, 2007 - September 10, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

SAN FRANCISCO, CA

Past

December 17, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN FRANCISCO, CA

Past

December 16, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

SAN FRANCISCO, CA

Past

April 20, 2001 - December 20, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

June 25, 1999 - December 20, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 12, 1994 - June 29, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 31, 1993 - April 28, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 1, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 4, 1991 - October 30, 1992

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 1, 1989 - February 7, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 25, 1989 - June 22, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

October 5, 1988 - March 2, 1989

SMITH-THOMAS INVESTMENT SERVICES, INC.

CRD#: 21481

Past

June 21, 1988 - July 9, 1988

KESSLER ASHER CLEARING L.P.

CRD#: 19493

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DELTA INVESTMENT MANAGEMENT, LLC

CRD#: 149596 / SEC#: 801-114006

RIA

Registered Investment Advisory firm - (9/19/2018 Approved)

California

Registered Investment Advisory firm - (11/13/2018 Terminated)

Colorado

Registered Investment Advisory firm - (10/26/2018 Terminated)

Illinois

Registered Investment Advisory firm - (9/19/2018 Terminated)

Nevada

Registered Investment Advisory firm - (11/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/14/2018 Terminated)

Washington

Registered Investment Advisory firm - (10/21/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/18/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/5/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

Current Firm

DELTA INVESTMENT MANAGEMENT, LLC

CRD#: 149596 / SEC#: 801-114006

RIA

Registered Investment Advisory firm - (9/19/2018 Approved)

California

Registered Investment Advisory firm - (11/13/2018 Terminated)

Colorado

Registered Investment Advisory firm - (10/26/2018 Terminated)

Illinois

Registered Investment Advisory firm - (9/19/2018 Terminated)

Nevada

Registered Investment Advisory firm - (11/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/14/2018 Terminated)

Washington

Registered Investment Advisory firm - (10/21/2018 Terminated)

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Contact information

Main Address

708 Montgomery Street, San Francisco, CA 94111

Mailing Address

204 E. 2nd Avenue, #906, San Mateo, CA 94401

Phone number

(415) 249-6337

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (6/13/2025)

BROCHURE SUPPLEMENT - ANDREW HOUGHTON (6/13/2025)

BROCHURE SUPPLEMENT - NICHOLAS ATKESON (6/13/2025)

Regulatory assets under management

Total Number of Accounts	2,625
AUM (Assets Under Management)	$ 770,787,222

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.

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Advisor Monitoring

Firm Stability Insights

Timothy P. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Patrick Anderson's CRS (Customer Relationship Summary).

Certified licenses

Experience

DELTA INVESTMENT MANAGEMENT, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

SMITH-THOMAS INVESTMENT SERVICES, INC.

KESSLER ASHER CLEARING L.P.

Primary Firm SEC Registration

DELTA INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/5/1988

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1988

Current Firm

DELTA INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DELTA INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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