Timothy Mark Whitehead
Professional Summary
Timothy Mark Whitehead, who also goes by Tim Whitehead, Timothy M Whitehead, is a registered financial advisor currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska and ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio. Timothy is registered as a RR (Registered Representative) and started their career in finance in 1997. Timothy has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tim Whitehead, Timothy M Whitehead
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
ULTIMUS FUND DISTRIBUTORS, LLC
Contact Information
Main Address
225 Pictoria Drive Suite 450, Cincinnati, OH 45246Mailing Address
225 Pictoria Drive Suite 450, Cincinnati, OH 45246Phone Number
(513) 587-3400Established
Ohio since 05/31/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(6/12/2024)
(6/12/2024)
(6/12/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jun 2024About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1997About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Apr 1999About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Timothy Mark Whitehead's CRS (Customer Relationship Summary).
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