Timothy M. Safieh
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 Michael Safieh, who also goes by Timothy Michael, Tim Safieh, Timothy Michael Safieh, Timothy M Safieh, Timothy Safieh, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1997. Timothy had worked at 13 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2024 - July 7, 2025
EDWARD JONES
September 13, 2024 - July 7, 2025
EDWARD JONES
August 31, 2023 - February 27, 2024
EMPOWER FINANCIAL SERVICES, INC.
April 3, 2023 - February 27, 2024
EMPOWER ADVISORY GROUP, LLC
January 8, 2020 - April 3, 2023
PERSONAL CAPITAL ADVISORS CORPORATION
November 14, 2012 - January 9, 2020
HARRISDIRECT LLC
November 14, 2012 - January 9, 2020
E*TRADE SECURITIES LLC
June 18, 2010 - November 15, 2012
CITIGROUP GLOBAL MARKETS INC.
June 15, 2010 - November 15, 2012
CITIGROUP GLOBAL MARKETS INC.
April 25, 2008 - June 26, 2008
TD AMERITRADE, INC.
April 25, 2008 - June 26, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 15, 2008 - June 26, 2008
TD AMERITRADE, INC.
March 13, 2007 - October 9, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2007 - October 9, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2006 - January 16, 2007
USAA INVESTMENT SERVICES COMPANY
October 2, 2006 - January 16, 2007
USAA INVESTMENT SERVICES COMPANY
June 20, 2006 - August 15, 2006
EDWARD JONES
September 20, 2001 - November 11, 2002
CHARLES SCHWAB & CO., INC.
September 3, 1997 - November 11, 2002
CHARLES SCHWAB & CO., INC.
June 11, 1997 - August 13, 1997
JOSEPH CHARLES & ASSOC., INC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
