Timothy Richard Pashley
Professional Summary
Timothy Richard Pashley, who also goes by Timothy R Pashley, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Ocean View, New Jersey. Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Timothy has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Timothy R Pashley
Similar Advisors
ROCKCREST FINANCIAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
ROCKCREST FINANCIAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
ROCKCREST FINANCIAL LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
ROCKCREST FINANCIAL LLC
Years of Experience
38 years in the financial services industry
Current & Past Employments
Similar Advisors
ROCKCREST FINANCIAL LLC
Current Firm
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
Contact Information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128Phone Number
(858) 207-1300Established
Delaware since 05/05/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
125SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
14,099AUM (Assets Under Management)
$2,019,427,633Disclosures
Regulatory Event
8Arbitration
1Similar Advisors
ROCKCREST FINANCIAL LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Similar Advisors
ROCKCREST FINANCIAL LLC
Primary Firm SEC Registration
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
State Registrations and Notice Filings
(10/7/2024)
(10/7/2024)
(10/7/2024)
(10/10/2024)
(10/7/2024)
(10/7/2024)
(9/10/2026)
(10/7/2024)
(10/7/2024)
(10/7/2024)
(4/16/2025)
(10/7/2024)
(9/21/2026)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
ROCKCREST FINANCIAL LLC
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Richard Pashley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Richard Pashley's CRS (Customer Relationship Summary).
Similar Advisors
ROCKCREST FINANCIAL LLC
