Timothy P. Shively
Professional summary
Timothy Patrick Shively was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Timothy is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Timothy had worked at 8 firms, which includes MARINER INVESTMENT GROUP, BROAD STREET SECURITIES INC., NEXT FINANCIAL GROUP INC., FBD INVESTMENT SERVICES INC., CETERA ADVISORS LLC, UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2006 - September 27, 2007
MARINER INVESTMENT GROUP
August 16, 2005 - May 25, 2006
BROAD STREET SECURITIES, INC.
March 1, 2001 - August 2, 2005
NEXT FINANCIAL GROUP, INC.
February 22, 1997 - March 2, 2001
FBD INVESTMENT SERVICES, INC.
March 21, 1996 - January 22, 1997
CETERA ADVISORS LLC
January 13, 1992 - March 21, 1996
UBS FINANCIAL SERVICES INC.
May 15, 1989 - December 17, 1991
PRUDENTIAL EQUITY GROUP, LLC
July 22, 1987 - May 25, 1989
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
MARINER INVESTMENT GROUP
CRD#: 35993 / SEC#: , 8-47067
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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