Timothy J. Brothers

UNITED CAPITAL FINANCIAL ADVISORS

CLIFTON PARK, NY

Some features on this profile are disabled

CRD#: 2653974

Professional summary

Timothy Joseph Brothers, who also goes by Timothy J Brothers, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Clifton Park, New York.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Timothy has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Timothy J Brothers

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) - RIA

Click below to view Timothy Joseph Brothers's CRS (Customer Relationship Summary).

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

March 28, 2024 - Present

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

CLIFTON PARK, NY

Past

July 20, 2021 - November 16, 2023

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

COHOES, NY

Past

January 4, 2021 - November 16, 2023

GOLDMAN SACHS & CO. LLC

CRD#: 361

COHOES, NY

Past

August 1, 2019 - January 4, 2021

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

COHOES, NY

Past

September 22, 2003 - August 1, 2019

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

January 1, 2002 - June 29, 2007

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

LATHAM, NY

Past

March 6, 1998 - December 11, 2003

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

COHOES, NY

Past

August 6, 1996 - May 20, 1997

C. L. KING & ASSOCIATES, INC.

CRD#: 6183

ALBANY, NY

Past

September 11, 1995 - July 15, 1996

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(3/28/2024)

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 65

Date: 10/14/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/14/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/8/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/2/1996

Registered Options Principal Examination

Principal/Supervisory Exam

Series 8

Date: 1/29/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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 J. Brothers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Joseph Brothers's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS WEALTH SERVICES, L.P.

GOLDMAN SACHS & CO. LLC

MERCER ALLIED COMPANY, L.P.

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

C. L. KING & ASSOCIATES, INC.

GLEACHER & COMPANY SECURITIES, INC.

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/1995

Series 63

Date: 10/14/1995

SIE

Date: 10/1/2018

Series 7

Date: 9/8/1995

Series 4

Date: 3/2/1996

Series 8

Date: 1/29/1996

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

Similar Advisors