Timothy Howland Doten
Professional Summary
Timothy Howland Doten, who also goes by Tim Doten, is a registered financial advisor currently at COLLIERS SECURITIES LLC located in Minneapolis, Minnesota. Timothy is registered as a RR (Registered Representative) and started their career in finance in 1987. Timothy has worked at 2 firms and has passed the Series 63, Series 72, 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
Tim Doten
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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.
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Years of Experience
39 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
COLLIERS SECURITIES LLC | SUMMIT INVESTMENT CORPORATION | NODAKBONDS | DOUGHERTY VALUE ADVISORS | DOUGHERTY SUMMIT SECURITIES LLC | DOUGHERTY & COMPANY LLC
Contact Information
Main Address
90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108Mailing Address
90 South Seventh Street Suite 3300, Minneapolis, MN 55402-4108Phone Number
(612) 376-4000Established
Delaware since 08/19/1997Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
120SEC notice filing (15 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLLIERS MORTGAGE HOLDINGS LLC | DIRECT OWNER | — |
| HABLE, DEBORAH MARIE | OPERATIONS MANAGER | 1596570 |
| HINIKER, JAMES JOHN III | SVP | 2148843 |
| JACOBSON, JEFFREY DUANE | EVP, CHIEF OPERATING OFFICER & BOARD MEMBER | 1976541 |
| JURAN, DAVID BRAMLEY | CHAIRMAN OF THE BOARD | 2166483 |
| MULLEN, DAVID THOMAS | EVP, BOARD MEMBER | 1273590 |
| NORRIS, ROGER ALLAN | SVP, REGISTERED OPTIONS PRINCIPAL | 2201413 |
| STEICHEN, THOMAS FRANCIS | EVP, CCO & GENERAL COUNSEL, BOARD MEMBER | 6920110 |
| THEIS, CRAIG DANIEL | SVP, BOARD MEMBER | 4365341 |
| VAN HANDEL, REBECCA | CHIEF FINANCIAL OFFICER & FINOP | 7558187 |
Regulatory Assets Under Management
Total Number of Accounts
1,055AUM (Assets Under Management)
$329,636,522Disclosures
Regulatory Event
25Arbitration
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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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Primary Firm SEC Registration
COLLIERS SECURITIES LLC | SUMMIT INVESTMENT CORPORATION | NODAKBONDS | DOUGHERTY VALUE ADVISORS | DOUGHERTY SUMMIT SECURITIES LLC | DOUGHERTY & COMPANY LLC
State Registrations and Notice Filings
(9/30/1997)
(9/30/1997)
(9/30/1997)
(10/30/2008)
(9/30/1997)
(12/8/2021)
(5/8/1998)
(9/30/1997)
(10/6/2023)
(9/30/1997)
(4/15/2005)
(9/30/1997)
(7/22/2024)
(12/24/2009)
(1/5/2000)
(6/7/2023)
(12/4/1997)
(12/17/2004)
(12/7/2009)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 72 — Government Securities Representative Examination
Passed Jan 2023SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Timothy Howland Doten's CRS (Customer Relationship Summary).
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