Timothy H. Emerson
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 Hawley Emerson JR, who also goes by Timothy Hawley Emerson Jr, was a registered financial advisor .
Timothy is a previously registered financial advisor and started their career in finance in 1989. Timothy had worked at 4 firms and has passed the Series 65, Series 63, Series 3 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
April 5, 2007 - March 18, 2009
BROOKSTONE SECURITIES, INC.
July 19, 2006 - December 17, 2008
BROOKSTONE SECURITIES, INC.
September 3, 2003 - June 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 17, 1999 - June 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 30, 1989 - April 5, 1999
MORGAN STANLEY DW INC.
September 19, 1989 - October 11, 1989
MCLINEY AND 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
Current Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| 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.
