Timothy J. Mcauliffe
Professional summary
Timothy John Mcauliffe, who also goes by Tim Mcauliffe, Timothy J Mcauliffe, is a registered financial professional currently at DV SECURITIES, LLC located in New York, New York.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 1995. Timothy has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timothy John Mcauliffe's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 15, 2024 - Present
DV SECURITIES, LLC
Office #1: 395 Hudson Street Suite 701, New York, NY 10014September 18, 2017 - November 8, 2023
SCOTIA CAPITAL (USA) INC.
January 3, 2013 - September 18, 2017
BREAN CAPITAL, LLC
August 31, 2011 - December 18, 2012
VINING-SPARKS IBG, LLC
August 31, 2011 - December 18, 2012
ICBA SECURITIES
October 10, 1996 - February 2, 2011
BARCLAYS CAPITAL INC.
June 12, 1995 - November 9, 1995
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/6/2024)
(9/9/2024)
(11/1/2024)
(9/26/2024)
(9/2/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
DV SECURITIES, LLC
CRD#: 305134 / SEC#: , 8-70393
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
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