Timothy J. Duma
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2005 - October 28, 2005
MORGAN PEABODY, INC.
March 2, 2004 - August 8, 2005
PREMIER SECURITIES OF AMERICA, INC.
May 10, 2001 - August 21, 2003
UNITED SECURITIES ALLIANCE, INC.
October 29, 2000 - August 21, 2003
UNITED SECURITIES ALLIANCE, INC.
April 24, 1996 - October 23, 2000
WMA SECURITIES, INC.
March 20, 1992 - April 30, 1996
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
MORGAN PEABODY, INC.
CRD#: 38306 / SEC#: , 8-48192
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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