Timothy A. Wells
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 Wells, AIF® was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1994. Timothy had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2020 - December 31, 2023
J. W. COLE ADVISORS, INC.
April 27, 2020 - December 31, 2023
J.W. COLE FINANCIAL, INC.
February 15, 2006 - April 27, 2020
SPC
February 15, 2006 - April 27, 2020
SIGMA FINANCIAL CORPORATION
April 26, 2002 - February 24, 2006
SUMMIT FINANCIAL GROUP INC
October 10, 1996 - February 24, 2006
SUMMIT BROKERAGE SERVICES, INC.
February 22, 1994 - August 19, 1996
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
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
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
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.
