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TD

Timothy J. Duma

Some features on this profile are disabled
CRD#: 2204619
TD

Professional summary

Timothy James Duma was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Timothy is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Timothy had worked at 5 firms, which includes MORGAN PEABODY INC., PREMIER SECURITIES OF AMERICA INC., UNITED SECURITIES ALLIANCE INC., WMA SECURITIES INC., PFS INVESTMENTS INC..

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.

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

August 18, 2005 - October 28, 2005

MORGAN PEABODY, INC.

BD
CRD#: 38306
SHERMAN OAKS, CA
Past

March 2, 2004 - August 8, 2005

PREMIER SECURITIES OF AMERICA, INC.

BD
CRD#: 127022
SUWANEE, GA
Past

May 10, 2001 - August 21, 2003

UNITED SECURITIES ALLIANCE, INC.

RIA
CRD#: 36487
DOWNERS GROVE, IL
Past

October 29, 2000 - August 21, 2003

UNITED SECURITIES ALLIANCE, INC.

BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past

April 24, 1996 - October 23, 2000

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

March 20, 1992 - April 30, 1996

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

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: 4/18/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/4/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/30/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/18/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/19/1994
Investment Company Products/Variable Contracts Principal Examination

Current Firm

MP
MORGAN PEABODY, INC.
MORGAN PEABODY INVESTMENT ADVISORY SERVICES | RICHMOND HILLCREST & COMPANY, INC. | MORGAN PEABODY, INC.

CRD#: 38306 / SEC#: , 8-48192

BD
Terminated by SEC on 12/14/2008
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 01/13/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WFG HOLDINGS, INC.PARENT CORPORATION
BASE, ROBERT STEPHENCFO, FINOP4418909
BORRIES, FRED ALLEN JRCCO1060711
WILLIAMS, DAVID ALLENPRESIDENT, COO4350295

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

MORGAN PEABODY, INC.

CRD#: 38306

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