Timothy W. Anderson
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 Winton Anderson, who also goes by Tim Anderson, Timo Anderson, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1992. Timothy had worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2023 - December 14, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 17, 2023 - December 14, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 25, 2017 - October 4, 2021
MML INVESTORS SERVICES, LLC
March 25, 2017 - October 4, 2021
MML INVESTORS SERVICES, LLC
March 17, 2009 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
March 2, 2009 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 24, 2007 - August 14, 2007
MANULIFE INVESTMENT MANAGEMENT (US) LLC
January 24, 2007 - August 14, 2007
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
January 3, 2007 - August 14, 2007
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
August 4, 2004 - January 4, 2007
U.S. BANCORP INVESTMENTS, INC.
December 1, 2001 - January 4, 2007
U.S. BANCORP INVESTMENTS, INC.
May 4, 2001 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
March 8, 2001 - May 7, 2001
CETERA INVESTMENT SERVICES LLC
September 1, 1995 - April 11, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 1992 - September 7, 1995
PRUDENTIAL EQUITY GROUP, LLC
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
Series 52TO
Date: 3/24/2023
Municipal Securities Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
