Timothy A. Rioux
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 Alfred Rioux, who also goes by Tim Rioux, Timothy A Rioux, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1991. Timothy had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 53, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2017 - October 9, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 17, 2017 - October 9, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 19, 2014 - October 28, 2016
NEXT FINANCIAL GROUP, INC.
December 15, 2014 - October 28, 2016
NEXT FINANCIAL GROUP, INC.
March 22, 2013 - July 1, 2013
NEW ENGLAND SECURITIES
March 22, 2013 - July 1, 2013
NEW ENGLAND SECURITIES
April 17, 2012 - December 11, 2012
MORGAN STANLEY
April 16, 2012 - December 11, 2012
MORGAN STANLEY
June 24, 2008 - April 11, 2012
LPL FINANCIAL LLC
May 18, 2007 - April 11, 2012
LPL FINANCIAL LLC
October 20, 2006 - December 6, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 3, 2006 - October 3, 2006
FIDELITY BROKERAGE SERVICES LLC
June 20, 1999 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
February 20, 1998 - March 30, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 12, 1996 - August 27, 1997
CITIZENS SECURITIES, INC.
July 5, 1995 - October 23, 1996
GUARDIAN INVESTOR SERVICES LLC
January 27, 1993 - June 1, 1995
ROBERT W. BAIRD & CO. INCORPORATED
January 27, 1993 - June 7, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 24, 1991 - October 20, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 24, 1991 - July 9, 1994
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
