Timothy D. Wasson
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 D Wasson, who also goes by Tim Wasson, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1987. Timothy had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 50, Series 7, Series 14, Series 12, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2014 - December 8, 2015
LANCASTER POLLARD INVESTMENT ADVISORY GROUP
November 27, 2012 - October 27, 2017
LANCASTER POLLARD & CO., LLC
March 4, 2005 - November 9, 2012
FIFTH THIRD SECURITIES, INC.
February 8, 2005 - November 9, 2012
FIFTH THIRD SECURITIES, INC.
July 14, 2004 - March 1, 2005
SII INVESTMENTS, INC.
July 14, 2004 - March 1, 2005
INVESTMENT CENTERS OF AMERICA, INC.
February 24, 2004 - May 14, 2004
COMERICA SECURITIES
March 12, 2001 - May 14, 2004
COMERICA SECURITIES
October 29, 1999 - March 9, 2001
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
May 26, 1998 - October 28, 1999
AMERIPRISE ADVISOR SERVICES, INC.
February 6, 1997 - May 8, 1998
NATCITY INSURANCE SERVICES, INC.
December 2, 1994 - May 8, 1998
FIRST OF AMERICA SECURITIES, INC.
July 23, 1990 - January 15, 1992
PLANMEMBER SECURITIES CORPORATION
December 1, 1989 - September 1, 1994
SOUTHPOINTE DISTRIBUTION SERVICES INC.
December 22, 1987 - September 1, 1994
FEDERATED SECURITIES CORP.
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 12
Date: 9/30/1998
NYSE Branch Manager ExaminationCurrent Firm
LANCASTER POLLARD INVESTMENT ADVISORY GROUP
CRD#: 112008 / SEC#: 801-55556
Contact information
Documents
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.
