Timothy L. Van Volkinburg

Some features on this profile are disabled

CRD#: 2413066

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 Lee Van Volkinburg, who also goes by Timothy Lee Vanvolkinburg, Timothy Vanvolkinburg, was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 1998. Timothy had worked at 4 firms and has passed the Series 66, Series 63, Series 65, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Timothy Lee Vanvolkinburg | Timothy Vanvolkinburg

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

September 2, 2016 - June 10, 2021

BROADVIEW FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 143550

WAUWATOSA, WI

Past

October 1, 2009 - May 6, 2010

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

MEQUON, WI

Past

September 12, 2008 - September 12, 2008

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

MEQUON, WI

Past

September 10, 2008 - May 6, 2010

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

MEQUON, WI

Past

April 21, 2004 - September 11, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

MEQUON, WI

Past

July 17, 1998 - July 28, 1999

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

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".

BROADVIEW FINANCIAL MANAGEMENT, LLC

BROADVIEW FINANCIAL MANAGEMENT, LLC | SJA FINANCIAL ADVISORY, LLC | SATTELL, JOHNSON, APPEL FINANCIAL ADVISORY, LLC

CRD#: 143550 / SEC#: 801-77625

RIA

Registered Investment Advisory firm - (2/13/2013 Approved)

Wisconsin

Registered Investment Advisory firm - (2/22/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

Series 66

Date: 5/13/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/8/1998

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/7/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 4/20/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/15/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROADVIEW FINANCIAL MANAGEMENT, LLC

BROADVIEW FINANCIAL MANAGEMENT, LLC | SJA FINANCIAL ADVISORY, LLC | SATTELL, JOHNSON, APPEL FINANCIAL ADVISORY, LLC

CRD#: 143550 / SEC#: 801-77625

RIA

Registered Investment Advisory firm - (2/13/2013 Approved)

Wisconsin

Registered Investment Advisory firm - (2/22/2013 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10401 W Innovation Dr Suite 100, Wauwatosa, WI 53226

Mailing Address

Phone number

(414) 390-1492

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROADVIEW ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,273
AUM (Assets Under Management)	$ 623,294,951

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Timothy L. Van Volkinburg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

BROADVIEW FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/13/2004

Series 63

Date: 7/8/1998

Series 65

Date: 10/7/1993

Series 7

Date: 4/20/2004

Series 6

Date: 7/15/1998

Current Firm

BROADVIEW FINANCIAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROADVIEW FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors