Timothy A. Wolff
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 Alan Wolff, who also goes by Tim A Wolff, Tim Wolff, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1994. Timothy had worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2023 - September 25, 2023
SAYBRUS EQUITY SERVICES, LLC
June 30, 2020 - May 19, 2023
CLARENDON INSURANCE AGENCY, INC.
January 10, 2020 - May 29, 2020
PARSONEX CAPITAL MARKETS, LLC
June 10, 2016 - March 29, 2019
EMPOWER FINANCIAL SERVICES, INC.
August 8, 2012 - December 31, 2014
SIGNATOR INVESTORS, INC.
December 16, 2011 - December 31, 2012
JOHN HANCOCK DISTRIBUTORS LLC
July 15, 2011 - June 3, 2016
MANULIFE INVESTMENT MANAGEMENT (US) LLC
July 15, 2011 - June 3, 2016
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
December 8, 2008 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
December 14, 2004 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
December 14, 2004 - July 15, 2011
JOHN HANCOCK DISTRIBUTORS LLC
July 3, 2003 - November 22, 2004
CIM SECURITIES, LLC
February 26, 2003 - June 17, 2003
AMERICAN SKANDIA ADVISORY SERVICES, INC.
March 6, 2002 - March 19, 2003
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 31, 1994 - February 27, 2001
JANUS HENDERSON DISTRIBUTORS US 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
Current Firm
SAYBRUS EQUITY SERVICES, LLC
CRD#: 153319 / SEC#: , 8-68521
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAYBRUS HOLDINGS, LLC | PARENT COMPANY | |
| ALI, AZIZ | VICE PRESIDENT | 5030560 |
| CASSIDY, EDWARD WILLIAM JR | EXEC. VP / INTERNAL DIRECTOR | 1606787 |
| COSTENBADER, WALTER RUSSELL | FINOP | 1828345 |
| HALPERIN, JEFFREY PAUL | INTERNAL DIRECTOR | 2899327 |
| LOWE, MOIRA CRONAN | PRESIDENT / CEO / INTERNAL DIRECTOR | 4076427 |
| MOORE, GIDEON CLOYES | CHIEF LEGAL OFFICER | 7011735 |
| SADOWSKI, ADAM MARK | ASSISTANT VICE PRESIDENT | 4578505 |
| SIINO, KATHERINE MARY | AVP & CHIEF COMPLIANCE OFFICER | 1666402 |
| TOMKO, CHRISTINE | CFO, PFO, POO | 6989991 |
| VIETRI, MICHAEL JOSEPH | INTERNAL DIRECTOR | 1068983 |
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.
