Timothy G. Gullickson

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CRD#: 2255805

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 Glenn Gullickson, who also goes by Tim Gullickson, was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 1992. Timothy had worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tim Gullickson

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

April 15, 2019 - October 3, 2022

FIRST LIGHT ASSET MANAGEMENT, LLC

RIA

CRD#: 168899

EDINA, MN

Past

May 4, 2011 - April 20, 2017

MAN INVESTMENTS INC.

CRD#: 15770

NEW YORK, NY

Past

January 4, 2008 - June 9, 2008

STARK DISTRIBUTORS LLC

CRD#: 144583

ST. FRANCIS, WI

Past

August 4, 2006 - November 21, 2007

STARK INVESTMENTS

RIA

CRD#: 137442

ST. FRANCIS, WI

Past

June 12, 2003 - March 5, 2007

SHEPHERD TRADING LIMITED

CRD#: 39591

ST. FRANCIS, WI

Past

May 2, 2003 - July 6, 2007

RELIANT TRADING

CRD#: 32496

ST. FRANCIS, WI

Past

April 21, 1999 - July 8, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 21, 1999 - July 8, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

June 5, 1995 - April 29, 1999

IAI SECURITIES, INC.

CRD#: 27917

MINNEAPOLIS, MN

Past

August 3, 1992 - January 6, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 3, 1992 - January 6, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST LIGHT ASSET MANAGEMENT, LLC

CRD#: 168899 / SEC#: 801-78528

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/18/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/12/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/20/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/3/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/7/2013

General Securities Principal Examination

Current Firm

FIRST LIGHT ASSET MANAGEMENT, LLC

CRD#: 168899 / SEC#: 801-78528

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

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Contact information

Main Address

3300 Edinborough Way Suite 201, Edina, MN 55435

Mailing Address

Phone number

(952) 831-6500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,077
AUM (Assets Under Management)	$ 1,131,174,724

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.

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Advisor Monitoring

Firm Stability Insights

Timothy G. Gullickson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MAN INVESTMENTS INC.

STARK DISTRIBUTORS LLC

STARK INVESTMENTS

SHEPHERD TRADING LIMITED

RELIANT TRADING

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

IAI SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FIRST LIGHT ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/18/2011

Series 66

Date: 4/12/2006

SIE

Date: 4/20/2017

Series 3

Date: 12/20/2012

Series 7

Date: 5/3/2011

Series 24

Date: 11/7/2013

Current Firm

FIRST LIGHT ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST LIGHT ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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