Timothy A. Werling
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 Allen Werling was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1996. Timothy had worked at 7 firms and has passed the Series 63, SIE 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 12, 2019 - October 22, 2019
FIRST PALLADIUM, LLC
February 4, 2013 - December 4, 2017
MERCAP SECURITIES, LLC
March 20, 2009 - December 31, 2012
VOYA FINANCIAL ADVISORS, INC.
April 14, 2008 - March 23, 2009
ASH SECURITIES WHOLESALING, INC.
May 1, 2007 - January 22, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 12, 1996 - May 1, 2007
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 12, 1996 - May 22, 2007
OSAIC FA, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FIRST PALLADIUM, LLC
CRD#: 289822 / SEC#: , 8-70007
Contact information
Documents
Red Flags
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