Timothy John Schwiebert
Professional Summary
Timothy John Schwiebert is a registered financial advisor currently at TOPSAIL WEALTH MANAGEMENT LLC located in Cincinnati, Ohio. Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Timothy has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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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.
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.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
TOPSAIL WEALTH MANAGEMENT LLC
Contact Information
Main Address
10800 Sikes Place Suite 230, Charlotte, NC 28277Mailing Address
Po Box 77105, Charlotte, NC 28271Phone Number
(980) 308-9901# of Employees
5SEC notice filing (15 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
729AUM (Assets Under Management)
$1,309,690,152Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2026 | Cover Page | Report |
| 02/23/2026 | Cover Page | Report |
| 09/12/2025 | Cover Page | Report |
| 02/28/2025 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
TOPSAIL WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
(11/20/2024)
(11/12/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Timothy John Schwiebert's CRS (Customer Relationship Summary).
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