Timothy P. Timko

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CRD#: 2091448

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 Paul Timko was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 1990. Timothy had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

December 12, 2013 - December 4, 2014

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

DALLAS, TX

Past

January 9, 2012 - November 22, 2013

AUSTIN ATLANTIC CAPITAL INC.

CRD#: 43981

IRVING, TX

Past

January 18, 2007 - January 3, 2012

CU INVESTMENT SOLUTIONS LLC

CRD#: 43753

PLANO, TX

Past

November 9, 2004 - April 6, 2005

CITISTREET FINANCIAL SERVICES LLC

RIA

CRD#: 107311

IRVING, TX

Past

November 9, 2004 - April 6, 2005

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

August 4, 2004 - October 11, 2004

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

FT WORTH, TX

Past

November 21, 2003 - October 11, 2004

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

May 19, 2003 - November 18, 2003

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

SAN ANTONIO, TX

Past

March 9, 2000 - March 11, 2002

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

September 23, 1998 - October 14, 1999

BANK UNITED SECURITIES CORP.

CRD#: 30288

HOUSTON, TX

Past

June 26, 1996 - September 17, 1998

J.P. MORGAN SECURITIES OF TEXAS, INC.

CRD#: 17116

HOUSTON, TX

Past

December 3, 1993 - July 12, 1996

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

November 13, 1990 - November 30, 1990

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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

IAR

Series 65

Date: 8/3/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/4/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/27/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/2/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FIRST SOUTHWEST COMPANY, LLC

FIRST SOUTHWEST COMPANY | FIRST SOUTHWEST COMPANY, LLC

CRD#: 316 / SEC#: , 8-1523

Terminated by SEC on 11/08/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 12/31/2014

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
FIRST SOUTHWEST HOLDINGS, L.L.C.	SHAREHOLDER
COMMONS, DAVID ALAN	CEO, CCO, CFO	4614412
EDGE, JOSEPH MICHAEL	DIRECTOR	4326551
LEVENTHAL, LAURA	DIRECTOR	1175259

Disclosures

Regulatory Event	16
Arbitration	5

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.

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Advisor Monitoring

Firm Stability Insights

Timothy P. Timko

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AUSTIN ATLANTIC CAPITAL INC.

CU INVESTMENT SOLUTIONS LLC

CITISTREET FINANCIAL SERVICES LLC

CITISTREET EQUITIES LLC

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

INVESTMENT PROFESSIONALS, INC.

1717 CAPITAL MANAGEMENT COMPANY

BANK UNITED SECURITIES CORP.

J.P. MORGAN SECURITIES OF TEXAS, INC.

FIDELITY BROKERAGE SERVICES LLC

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/3/2004

Series 63

Date: 11/30/1993

SIE

Date: 12/4/2014

Series 7

Date: 5/27/1994

Series 6

Date: 12/2/1993

Current Firm

FIRST SOUTHWEST COMPANY, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST SOUTHWEST COMPANY, LLC

TRUST BUT VERIFY

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