Timothy E. Ash
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 Edward Ash was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1992. Timothy had worked at 8 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2013 - December 31, 2013
MERCAP SECURITIES, LLC
March 23, 2009 - December 31, 2012
VOYA FINANCIAL ADVISORS, INC.
October 21, 2003 - November 26, 2008
CFD INVESTMENTS, INC.
January 19, 2001 - July 18, 2002
SII INVESTMENTS, INC.
October 29, 1998 - December 31, 1999
ALLSTATE FINANCIAL SERVICES, LLC
November 22, 1995 - March 23, 2009
ASH SECURITIES WHOLESALING, INC.
March 18, 1994 - October 29, 1998
AFD, INC.
February 17, 1992 - March 11, 1994
FORTH FINANCIAL SECURITIES, CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MERCAP SECURITIES, LLC
CRD#: 156607 / SEC#: , 8-68810
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
