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Timothy Robert Evans

CRD# 2112351·Registered 1990 - 2004
Previously Registered: Being a previously registered professional could mean that Timothy 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.

Professional Summary

Timothy Robert Evans, who also goes by Tim Evans, was a registered financial advisor. Timothy was a previously registered financial advisor and started their career in finance 1990 - 2004. Timothy had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Tim Evans

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

33 years in the financial services industry

Current & Past Employments

IFMG SECURITIES, INC.·CRD# 14416
RIA
South Amboy, NJ
July 21, 2003 - July 29, 2004
IFMG SECURITIES, INC.·CRD# 14416
BD
Purchase, NY
July 16, 2003 - July 29, 2004
QUICK & REILLY, INC.·CRD# 11217
RIA
Hackensack, NJ
November 22, 2002 - April 25, 2003
QUICK & REILLY, INC.·CRD# 11217
BD
New York, NY
April 25, 2001 - April 25, 2003
SUMMIT FINANCIAL SERVICES GROUP, INC.·CRD# 7246
BD
Bethlehem, PA
February 25, 2000 - April 25, 2001
CHASE INVESTMENT SERVICES CORP.·CRD# 25574
BD
Chicago, IL
September 29, 1999 - February 8, 2000
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
January 21, 1998 - October 1, 1999
M.S. FARRELL & COMPANY, INC.·CRD# 24232
BD
Syosset, NY
November 20, 1991 - August 14, 1995
LAIDLAW GLOBAL SECURITIES, INC.·CRD# 19018
BD
New York, NY
July 8, 1991 - November 21, 1991
D. H. BLAIR & CO., INC.·CRD# 6833
BD
New York, NY
December 17, 1990 - July 16, 1991

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Current Firm

IS
IFMG SECURITIES, INC.

IFMG SECURITIES, INC. | TORCHMARK BROKERAGE SERVICES, INC. | LIBERTY SECURITIES CORPORATION

CRD#: 14416 / SEC#: 8-30670
BD
Terminated by SEC on 11/09/2008

Contact Information

Established

Delaware since 05/03/1991

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.PARENT COMPANY—
ARNOLD, DAN HOGAN JRDIRECTOR, VICE PRESIDENT, SECRETARY2557410
MAHER, CHARLES WILLIAMDIRECTOR2085378
VANNOY-PINEDA, KATHLEEN DENISECHIEF COMPLIANCE OFFICER1347526

Disclosures

Regulatory Event

5

Arbitration

4

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 1998About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1998About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 1998About the Series 7 exam

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CRS (Client Relationship Summary)

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

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