Timothy G. Gillis
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 Gordon Gillis, who also goes by Tim Gillis, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1988. Timothy had worked at 9 firms and has passed the Series 63, SIE, Series 6, Series 62, Series 22 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2015 - December 31, 2016
CAPE SECURITIES INC.
February 9, 2011 - June 24, 2013
STRATCAP SECURITIES, LLC
March 21, 2001 - January 28, 2011
CAPITAL BROKERAGE CORPORATION
May 10, 2000 - October 25, 2000
IDS LIFE INSURANCE COMPANY
May 10, 2000 - October 25, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
October 20, 1997 - March 31, 2000
EQUITABLE DISTRIBUTORS, LLC
March 29, 1996 - December 31, 1996
VSR FINANCIAL SERVICES, INC.
November 24, 1992 - May 6, 1994
A.S.A. INVESTMENT COMPANY
April 9, 1991 - November 6, 1992
COUSINS SECURITIES CORPORATION
November 21, 1988 - April 24, 1991
A.S.A. INVESTMENT COMPANY
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
Series 62
Date: 10/19/1992
Corporate Securities Limited Representative ExaminationCurrent Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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