Timothy C. Green
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 Clinton Green, CFP®, who also goes by Tim Green, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1999. Timothy had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
April 19, 2016 - September 15, 2019
USAA INVESTMENT SERVICES COMPANY
April 19, 2016 - September 15, 2019
USAA INVESTMENT SERVICES COMPANY
May 3, 2013 - June 26, 2015
USAA INVESTMENT SERVICES COMPANY
May 3, 2013 - June 26, 2015
USAA INVESTMENT SERVICES COMPANY
February 1, 2007 - May 13, 2013
USAA FINANCIAL PLANNING SERVICES
February 1, 2007 - May 13, 2013
USAA FINANCIAL ADVISORS, INC.
July 7, 2006 - January 16, 2007
COMMONWEALTH FINANCIAL NETWORK
June 16, 2006 - January 16, 2007
COMMONWEALTH FINANCIAL NETWORK
September 24, 2003 - June 19, 2006
TRANSAMERICA INVESTORS SECURITIES, LLC
May 6, 1999 - April 14, 2003
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
Current Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
