Timothy V. Davis
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 V Davis, who also goes by Timothy Davis, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1987. Timothy had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2011 - June 25, 2013
IRONWOOD WEALTH MANAGEMENT, INC.
September 16, 2011 - July 3, 2013
PURSHE KAPLAN STERLING INVESTMENTS
November 17, 2009 - September 20, 2011
OSAIC FS, INC.
August 4, 2009 - September 20, 2011
OSAIC FS, INC.
May 23, 2005 - August 10, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 20, 2005 - August 10, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2003 - May 24, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - May 24, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 24, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 24, 1987 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
IRONWOOD WEALTH MANAGEMENT, INC.
CRD#: 128699 / SEC#: 801-62555
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
IRONWOOD WEALTH MANAGEMENT, INC.
CRD#: 128699 / SEC#: 801-62555
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 696 |
| AUM (Assets Under Management) | $ 212,837,072 |
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.
