Timothy F. Pilz
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 Francis Pilz was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1996. Timothy had worked at 5 firms and has passed the Series 63 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
January 22, 2007 - February 13, 2007
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
September 5, 2005 - December 31, 2005
J.W. COLE FINANCIAL, INC.
March 19, 2003 - September 22, 2003
WELLS FARGO CLEARING SERVICES, LLC
May 5, 2000 - September 24, 2002
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
October 8, 1998 - May 10, 1999
VERAVEST INVESTMENTS, INC.
August 22, 1996 - June 8, 1998
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
CRD#: 332 / SEC#: , 8-5889
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
