Timothy Behany
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 Behany was a registered financial advisor .
Timothy is a previously registered financial advisor and started their career in finance in 1997. Timothy had worked at 3 firms and has passed the Series 65, Series 63, Series 31, 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
June 22, 2005 - April 21, 2006
GUNNALLEN FINANCIAL, INC
May 12, 2005 - May 27, 2005
GUNNALLEN FINANCIAL, INC
May 12, 2005 - April 21, 2006
GUNNALLEN FINANCIAL, INC
June 13, 2002 - May 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 13, 2002 - May 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
May 8, 2002 - May 16, 2002
CITIGROUP GLOBAL MARKETS INC.
July 7, 1997 - May 16, 2002
CITIGROUP GLOBAL MARKETS INC.
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
