TC
Timothy Collins
NATIONAL BANK OF CANADA FINANCIAL
New York, NY 10022
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CRD#: 2777222
TC
Professional summary
Timothy Collins, who also goes by Timothy Joseph Collins, is a registered financial professional currently at NATIONAL BANK OF CANADA FINANCIAL 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 10 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 3, Series 7, Series 24, Series 4, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Timothy Joseph Collins
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.
CRS (Client Relationship Summary) - BD
Click below to view Timothy Collins'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®
NoneExperience
Current
September 30, 2020 - Present
NATIONAL BANK OF CANADA FINANCIAL INC.
Office #1: 65 East 55th Street 8th Floor, New York, NY 10022BD
CRD#: 22698
New York, NY
Past
March 23, 2018 - August 29, 2019
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
March 7, 2017 - October 19, 2017
ING FINANCIAL MARKETS LLC
BD
CRD#: 28872
NEW YORK, NY
Past
June 15, 2010 - May 10, 2016
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 28, 2009 - March 19, 2010
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
March 25, 2009 - November 20, 2009
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
September 22, 2008 - December 12, 2008
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
September 6, 2006 - October 15, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
NEW YORK, NY
Past
September 6, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 4, 2004 - May 17, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
April 12, 2001 - May 17, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 6, 1996 - March 8, 2001
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(9/30/2020)
RR
Alaska(9/30/2020)
RR
Arizona(9/30/2020)
RR
Arkansas(9/30/2020)
RR
California(9/30/2020)
RR
Colorado(9/30/2020)
RR
Connecticut(9/30/2020)
RR
Delaware(9/30/2020)
RR
District of Columbia(9/30/2020)
RR
Florida(9/30/2020)
RR
Georgia(9/30/2020)
RR
Hawaii(9/30/2020)
RR
Idaho(9/30/2020)
RR
Illinois(9/30/2020)
RR
Indiana(9/30/2020)
RR
Iowa(9/30/2020)
RR
Kansas(9/30/2020)
RR
Kentucky(9/30/2020)
RR
Louisiana(9/30/2020)
RR
Maine(9/30/2020)
RR
Maryland(9/30/2020)
RR
Massachusetts(9/30/2020)
RR
Michigan(9/30/2020)
RR
Minnesota(9/30/2020)
RR
Mississippi(9/30/2020)
RR
Missouri(9/30/2020)
RR
Montana(9/30/2020)
RR
Nebraska(9/30/2020)
RR
Nevada(9/30/2020)
RR
New Hampshire(9/30/2020)
RR
New Jersey(9/30/2020)
RR
New Mexico(9/30/2020)
RR
New York(9/30/2020)
RR
North Carolina(9/30/2020)
RR
North Dakota(9/30/2020)
RR
Ohio(10/2/2020)
RR
Oklahoma(9/30/2020)
RR
Oregon(9/30/2020)
RR
Pennsylvania(9/30/2020)
RR
Puerto Rico(9/30/2020)
RR
Rhode Island(9/30/2020)
RR
South Carolina(9/30/2020)
RR
South Dakota(9/30/2020)
RR
Tennessee(9/30/2020)
RR
Texas(9/30/2020)
RR
Utah(9/30/2020)
RR
Vermont(9/30/2020)
RR
Virginia(9/30/2020)
RR
Washington(9/30/2020)
RR
West Virginia(9/30/2020)
RR
Wisconsin(9/30/2020)
RR
Wyoming(9/30/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/3/2009
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NB
NATIONAL BANK OF CANADA FINANCIAL INC.
NATIONAL BANC FINANCIAL INC. | PUTNAM, LOVELL, DE GUARDIOLA & THORNTON INC. | PUTNAM, LOVELL & THORNTON INC. | PUTNAM LOVELL SECURITIES INC. | PUTNAM LOVELL NBF SECURITIES INC. | PUTNAM LOVELL NBF | NATIONAL BANK OF CANADA FINANCIAL INC.
CRD#: 22698 / SEC#: , 8-39947
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
65 East 55th Street 8th Floor, New York, NY 10022
Mailing Address
65 East 55th Street 8th Floor, New York, NY 10022
Phone number
(212) 546-7500
Established
Delaware since 06/01/1987
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL BANK OF CANADA FINANCIAL GROUP INC. | SHAREHOLDER | |
| BONDY, TODD RICHARD | MANAGING DIRECTOR, CO-HEAD OF US FIXED INCOME SALES & TRADING | 2526622 |
| DONNELLY, MICHAEL PATRICK | MANAGING DIRECTOR, CO-HEAD OF US FIXED INCOME SALES & TRADING | 2530195 |
| DUBUC, ETIENNE | CHAIRMAN OF BOARD, EQUITIES SALES SUPERVISOR | 6628432 |
| GRABOVSKY, YURI | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, AND FINOP | 4149242 |
| HEALEY, SEAN CHRISTOPHER | PRESIDENT, CEO, CTO, MANAGING DIRECTOR, GLOBAL SECURITIES FINANCE, REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL | 3218329 |
| HOOD, ANDREW PETER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 3008883 |
| KATCHOUNI, ALAIN | MANAGING DIRECTOR AND HEAD OF EQUITIES | 4863032 |
| LOCAS, YVES JOSEPH | MANAGING DIRECTOR, HEAD OF U.S. DEBT SYNDICATION | 6038023 |
| MCENTYRE, PATRICK MICHAEL | MANAGING DIRECTOR, INSTITUTIONAL EQUITY ELECTRONIC TRADING AND SERVICES | 4420353 |
| MCGOWAN, KATIE MARIE | CHIEF COMPLIANCE OFFICER | 5111849 |
| MILLER, ROBERT DENNIS | MANAGING DIRECTOR, HEAD OF U.S. DEBT CAPITAL MARKETS | 2991181 |
| PETITTO, LOUIS ROBERT | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 6449700 |
Disclosures
| Regulatory Event | 10 |
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.
