Timothy J. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Timothy John Schwiebert's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 11, 2024 - Present
TOPSAIL WEALTH MANAGEMENT LLC
May 26, 2006 - May 15, 2024
L.M. KOHN & COMPANY
January 8, 1998 - May 15, 2024
L.M. KOHN & COMPANY
November 4, 1996 - January 12, 1998
THE GLASER CAPITAL CORPORATION
Primary Firm SEC Registration
TOPSAIL WEALTH MANAGEMENT LLC
CRD#: 331098 / SEC#: 801-130245
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/20/2024)
(11/12/2024)
(7/11/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/26/2000
Limited Representative-Equity Trader ExamCurrent Firm
TOPSAIL WEALTH MANAGEMENT LLC
CRD#: 331098 / SEC#: 801-130245
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 597 |
| AUM (Assets Under Management) | $ 1,029,879,755 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 02/28/2025 |
Red Flags
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