TM
Timothy J. Morioka
SHAREHOLDERS SERVICE GROUP
San Diego, CA 92131
Some features on this profile are disabled
CRD#: 2180737
TM
Professional summary
Timothy John Morioka is a registered financial professional currently at SHAREHOLDERS SERVICE GROUP, LLC located in San Diego, California.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 1992. Timothy has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Timothy John Morioka's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 19, 2004 - Present
SHAREHOLDERS SERVICE GROUP, LLC
Office #1: 9845 Erma Road Ste 312, San Diego, CA 92131Office #2: 9845 Erma Road Suite 312, San Diego, CA 92131BD
CRD#: 125226
San Diego, CA
Past
September 9, 2003 - February 18, 2004
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
December 20, 2001 - February 18, 2004
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
June 1, 1998 - January 19, 2001
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
May 19, 1992 - June 1, 1998
JACK WHITE & COMPANY, INC.
BD
CRD#: 7645
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/30/2013)
RR
Alaska(8/19/2014)
RR
Arizona(8/26/2013)
RR
Arkansas(8/30/2013)
RR
California(2/19/2004)
RR
Colorado(8/30/2013)
RR
Connecticut(8/30/2013)
RR
Delaware(8/30/2013)
RR
District of Columbia(8/30/2013)
RR
Florida(8/31/2007)
RR
Georgia(8/31/2007)
RR
Hawaii(8/30/2013)
RR
Idaho(8/30/2013)
RR
Illinois(8/26/2013)
RR
Indiana(8/30/2013)
RR
Iowa(8/30/2013)
RR
Kansas(8/30/2013)
RR
Kentucky(8/30/2013)
RR
Louisiana(8/30/2013)
RR
Maine(8/30/2013)
RR
Maryland(8/30/2013)
RR
Massachusetts(8/30/2013)
RR
Michigan(8/30/2013)
RR
Minnesota(8/30/2013)
RR
Mississippi(8/30/2013)
RR
Missouri(8/30/2013)
RR
Montana(8/30/2013)
RR
Nebraska(8/30/2013)
RR
Nevada(8/30/2013)
RR
New Hampshire(8/30/2013)
RR
New Jersey(8/30/2013)
RR
New Mexico(8/30/2013)
RR
New York(8/30/2013)
RR
North Carolina(9/4/2013)
RR
North Dakota(8/30/2013)
RR
Ohio(8/27/2013)
RR
Oklahoma(8/30/2013)
RR
Oregon(8/30/2013)
RR
Pennsylvania(8/31/2007)
RR
Puerto Rico(7/15/2020)
RR
Rhode Island(8/30/2013)
RR
South Carolina(8/30/2013)
RR
South Dakota(8/30/2013)
RR
Tennessee(8/30/2013)
RR
Texas(8/31/2007)
RR
Utah(8/30/2013)
RR
Vermont(8/30/2013)
RR
Virgin Islands(8/19/2020)
RR
Virginia(8/30/2013)
RR
Washington(8/30/2013)
RR
West Virginia(8/30/2013)
RR
Wisconsin(8/30/2013)
RR
Wyoming(8/30/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SHAREHOLDERS SERVICE GROUP, LLC
SHAREHOLDER SERVICES GROUP, INC. | SHAREHOLDERS SERVICE GROUP, LLC | SHAREHOLDERS SERVICE GROUP, INC.
CRD#: 125226 / SEC#: , 8-65778
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
9845 Erma Road Ste 312, San Diego, CA 92131
Mailing Address
9845 Erma Road Ste 312, San Diego, CA 92131
Phone number
(858) 530-1031
Established
California since 09/30/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
