Timothy M. Mann

SCOTIA CAPITAL (USA)

NEW YORK, NY 10281

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CRD#: 2500777

Professional summary

Timothy Michael Mann, who also goes by Tim Mann, is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in New York, New York.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 1996. Timothy has worked at 6 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tim Mann

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) - BD

Click below to view Timothy Michael Mann's CRS (Customer Relationship Summary).

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

Current

February 7, 2020 - Present

SCOTIA CAPITAL (USA) INC.

Office #1: 250 Vesey Street, New York, NY 10281

CRD#: 2739

NEW YORK, NY

Past

September 22, 2008 - February 5, 2020

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

March 11, 2004 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 17, 2000 - November 21, 2002

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

November 8, 1999 - April 6, 2000

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

May 22, 1996 - July 13, 1998

CASPIAN SECURITIES INCORPORATED

CRD#: 38878

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/13/2020)

Alaska
(2/24/2020)

Arizona
(2/7/2020)

Arkansas
(2/7/2020)

California
(2/7/2020)

Colorado
(2/7/2020)

Connecticut
(2/7/2020)

Delaware
(2/17/2020)

District of Columbia
(2/7/2020)

Florida
(2/7/2020)

Georgia
(2/7/2020)

Hawaii
(2/11/2020)

Idaho
(2/7/2020)

Illinois
(2/7/2020)

Indiana
(2/7/2020)

Iowa
(2/7/2020)

Kansas
(2/7/2020)

Kentucky
(2/7/2020)

Louisiana
(2/7/2020)

Maine
(2/7/2020)

Maryland
(2/7/2020)

Massachusetts
(2/10/2020)

Michigan
(2/7/2020)

Minnesota
(2/7/2020)

Mississippi
(2/7/2020)

Montana
(2/7/2020)

Nebraska
(2/7/2020)

Nevada
(2/7/2020)

New Hampshire
(2/7/2020)

New Jersey
(2/7/2020)

New Mexico
(2/7/2020)

New York
(2/7/2020)

North Carolina
(2/7/2020)

North Dakota
(2/7/2020)

Ohio
(2/7/2020)

Oklahoma
(2/7/2020)

Oregon
(7/13/2020)

Pennsylvania
(2/7/2020)

Puerto Rico
(2/7/2020)

Rhode Island
(2/7/2020)

South Carolina
(2/7/2020)

South Dakota
(2/7/2020)

Tennessee
(2/7/2020)

Texas
(2/13/2020)

Utah
(2/7/2020)

Vermont
(2/7/2020)

Virginia
(2/7/2020)

Washington
(2/7/2020)

West Virginia
(2/7/2020)

Wisconsin
(2/7/2020)

Wyoming
(2/7/2020)

Exams

State Security Law Exam

Series 63

Date: 8/27/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/15/2013

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/21/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/8/1998

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

SCOTIA CAPITAL (USA) INC.

CRD#: 2739 / SEC#: , 8-3716

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

250 Vesey Street, New York, NY 10281

Mailing Address

250 Vesey Street, New York, NY 10281

Phone number

(212) 225-6500

Established

New York since 11/25/1939

Firm type

Corporation

Fiscal year end

October

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SCOTIA HOLDINGS (USA) LLC	SOLE SHAREHOLDER
ATTIA, MONCEF	BOARD MEMBER	4852031
DUSSEAU, SEAN MICHAEL	CHIEF OPERATING OFFICER & BOARD MEMBER	6628832
GALANTE, ANTHONY JAMES	CHIEF FINANCIAL OFFICER	2168905
GEORGALAS, ANDREAS ZANIS	CHIEF LEGAL OFFICER	4769326
GOHMAN, BENJAMIN E	BOARD MEMBER	4835406
KAUSHIK, KSHAMTA	CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER	7523252
KHAN, ARIF KAMAL	CHIEF COMPLIANCE OFFICER	5011278
NATHANSON, GARY	BOARD MEMBER	4825746
PATEL, HEMANG	CHIEF OPERATIONS OFFICER	8032984
WANG, ELSA YI-HUI	BOARD MEMBER	5984605
WILSON, MARC-ANDRE	BOARD MEMBER	6455732

Disclosures

Regulatory Event

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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Firm Stability Insights

Timothy M. Mann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy Michael Mann's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

COWEN AND COMPANY

ABN AMRO INCORPORATED

CASPIAN SECURITIES INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/27/1996

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/15/2013

Series 7

Date: 5/21/1996

Series 24

Date: 4/8/1998

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE Texas, Inc.

Nasdaq ISE, LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

SCOTIA CAPITAL (USA) INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SCOTIA CAPITAL (USA) INC.

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