Timothy Mccabe
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 Mccabe, who also goes by Timothy John Mccabe, Timothy Mccabe, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1990. Timothy had worked at 11 firms and has passed the Series 63, SIE 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
February 12, 2020 - December 5, 2023
CITIZENS SECURITIES, INC.
March 5, 2019 - February 21, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 27, 2018 - September 10, 2018
B. RILEY WEALTH MANAGEMENT
June 27, 2018 - October 26, 2018
B. RILEY SECURITIES, INC.
September 1, 2006 - August 3, 2017
THE HUNTINGTON INVESTMENT COMPANY
July 30, 2002 - September 5, 2006
HUNTINGTON CAPITAL CORP.
April 1, 1999 - May 13, 2002
BANC ONE CAPITAL MARKETS, INC.
October 23, 1997 - April 1, 1999
BANC ONE CAPITAL MARKETS, INC.
July 25, 1994 - May 9, 1995
NATCITY INVESTMENTS, INC.
January 11, 1994 - October 3, 1994
NATIONAL CITY INVESTMENTS CORPORATION
September 5, 1990 - February 1, 1994
FIFTH THIRD SECURITIES, INC.
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
