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TH

Timothy B. Hetrick

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CRD#: 2048466
TH

Professional summary

Timothy Brent Hetrick was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Timothy is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Timothy had worked at 4 firms, which includes U.S. BROKERAGE INC., PAULSON INVESTMENT COMPANY LLC, ROBERT W. BAIRD & CO. INCORPORATED, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tim Hetrick

Other business activities

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 2, 2002 - August 30, 2019

U.S. BROKERAGE, INC.

BD
CRD#: 39307
BOISE, ID
Past

March 4, 1993 - May 6, 2002

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
PORTLAND, OR
Past

May 22, 1990 - February 26, 1993

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

May 22, 1990 - February 26, 1993

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/2/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1990
General Securities Representative Examination

Current Firm

UB
U.S. BROKERAGE, INC.
U.S. BROKERAGE, INC. | U.S. DISCOUNT BROKERAGE, INC.

CRD#: 39307 / SEC#: , 8-48635

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
17 E Kossuth St, Columbus, OH 43206
Mailing Address
17 E Kossuth St, Columbus, OH 43206
Phone number
(614) 448-3200
Established
Ohio since 08/28/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RANDALL, GREGORY ALLENSECRETARY, ROSFP2196226
RANDALL, GREGORY ALLENCHIEF COMPLIANCE OFFICER2196226
KLIMER, NORBERT CHRISTOPHERINVESTOR2803328
RANDALL, RONALD DALEDIRECTOR2660423
MASTERS, KEVIN CRAWFORDFINOP/PFO/POO2730013

Disclosures

Regulatory Event2
Arbitration1

Red Flags

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Company Information

U.S. BROKERAGE, INC.

CRD#: 39307

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