Timothy M. Annee
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 Annee, who also goes by Timothy M Annee, Tim Annee, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1998. Timothy had worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2021 - June 29, 2022
CETERA INVESTMENT ADVISERS LLC
February 17, 2021 - June 29, 2022
CETERA INVESTMENT SERVICES LLC
October 25, 2018 - February 5, 2020
ONEAMERICA SECURITIES, INC.
October 25, 2018 - February 5, 2020
ONEAMERICA SECURITIES, INC.
March 28, 2018 - October 15, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
March 27, 2018 - October 15, 2018
ALLSTATE FINANCIAL SERVICES, LLC
May 15, 2015 - January 9, 2018
PARKLAND SECURITIES, LLC
May 11, 2015 - January 9, 2018
SPC
September 9, 2013 - May 12, 2015
LPL FINANCIAL LLC
August 30, 2013 - May 12, 2015
LPL FINANCIAL LLC
February 7, 2013 - September 5, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
February 6, 2013 - September 5, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
October 11, 2012 - February 5, 2013
WADDELL & REED
October 11, 2012 - February 5, 2013
WADDELL & REED
June 3, 2011 - October 10, 2012
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
December 22, 2009 - June 6, 2011
PNC WEALTH MANAGEMENT LLC
June 21, 2007 - October 26, 2009
THE HUNTINGTON INVESTMENT COMPANY
January 3, 2006 - June 20, 2007
OBS BROKERAGE SERVICES, INC.
September 15, 2004 - December 16, 2005
MORGAN KEEGAN & COMPANY, LLC
March 4, 2004 - November 1, 2004
NATCITY INVESTMENTS, INC.
March 7, 2000 - March 1, 2004
BANC ONE SECURITIES CORPORATION
January 11, 2000 - February 29, 2000
AMERIPRISE ADVISOR SERVICES, INC.
March 5, 1999 - March 1, 2000
BIRCHTREE FINANCIAL SERVICES LLC
February 2, 1999 - February 24, 1999
BIRCHTREE FINANCIAL SERVICES LLC
March 19, 1998 - February 10, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
