Timothy J. Kiley
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 James Kiley was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1987. Timothy had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2013 - December 5, 2017
TRUIST SECURITIES, INC.
September 29, 2012 - June 10, 2013
PFM FUND DISTRIBUTORS, INC.
October 25, 2010 - January 6, 2012
PFM FUND DISTRIBUTORS, INC.
May 22, 2006 - August 6, 2008
TRUIST SECURITIES, INC.
January 2, 1998 - February 13, 2009
TRUIST SECURITIES, INC.
March 1, 1996 - January 2, 1998
SUNTRUST CAPITAL MARKETS, INC.
February 28, 1992 - September 11, 1995
MORGAN STANLEY & CO. LLC
May 1, 1987 - February 21, 1992
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
Red Flags
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