Timothy Mccoy
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 Mccoy, who also goes by Timothy M Mccoy, Timothy Michael Mccoy, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1998. Timothy had worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 24, Series 4, Series 53, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2022 - March 9, 2023
NEXT FINANCIAL GROUP, INC.
April 28, 2022 - March 9, 2023
CADARET, GRANT & CO., INC.
August 16, 2021 - May 2, 2022
WELLS FARGO CLEARING SERVICES, LLC
May 30, 2017 - July 9, 2019
AMERITAS INVESTMENT COMPANY, LLC
December 12, 2012 - June 23, 2017
PATRICK CAPITAL MARKETS, LLC
November 28, 2012 - June 23, 2017
SAXONY SECURITIES, INC.
October 2, 2007 - July 9, 2010
EDWARD JONES
October 2, 2007 - July 9, 2010
EDWARD JONES
January 9, 2007 - September 25, 2007
A. G. EDWARDS & SONS, INC.
November 14, 2005 - December 31, 2006
A. G. EDWARDS & SONS, INC.
August 28, 2002 - September 25, 2007
A. G. EDWARDS & SONS, INC.
April 7, 1998 - August 26, 2002
SCOTTRADE, INC.
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
