Timothy B. Hockman
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 Burton Hockman, who also goes by Qtimothy Burton Hockman, Tim Hockman, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1990. Timothy had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2019 - July 17, 2019
PARADIGM WEALTH ADVISORY LLC
September 14, 2018 - August 29, 2022
LPL FINANCIAL LLC
February 8, 2005 - February 20, 2015
PACKERLAND BROKERAGE SERVICES, INC.
February 8, 2005 - September 17, 2018
PACKERLAND BROKERAGE SERVICES, INC.
December 5, 2003 - February 8, 2005
UNITED SECURITIES ALLIANCE, INC.
March 14, 2003 - February 8, 2005
UNITED SECURITIES ALLIANCE, INC.
October 18, 2002 - March 25, 2003
FSC SECURITIES CORPORATION
July 1, 2002 - October 28, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
March 13, 1990 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
Primary Firm SEC Registration
PARADIGM WEALTH ADVISORY LLC
CRD#: 283120 / SEC#: 801-107403
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
PARADIGM WEALTH ADVISORY LLC
CRD#: 283120 / SEC#: 801-107403
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,521 |
| AUM (Assets Under Management) | $ 468,284,162 |
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.
