Timothy B. Lloyd
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 Brian Lloyd was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1991. Timothy had worked at 2 firms and has passed the Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 1998 - May 11, 1999
MARION BASS SECURITIES CORPORATION
July 12, 1993 - November 2, 1993
MARION BASS SECURITIES CORPORATION
August 26, 1991 - June 25, 1993
FIRST AMERICAN SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
MARION BASS SECURITIES CORPORATION
CRD#: 7961 / SEC#: , 8-23820
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 8 |
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.
