Timothy B. Hall

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CRD#: 2928357

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 Brian Hall, who also goes by Tim Hall, was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 1997. Timothy had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tim Hall

Other business activities

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 27, 2007 - June 26, 2020

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

June 20, 2002 - August 24, 2007

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

December 7, 2001 - May 22, 2002

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

May 11, 1998 - May 15, 2001

BROWNCO, LLC

CRD#: 1326

BOSTON, MA

Past

August 12, 1997 - January 15, 1998

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805 / SEC#: 801-54810, 8-48842

RIA

Registered Investment Advisory firm - SEC (8/26/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

Series 63

Date: 8/14/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/11/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/20/2011

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 7/28/2011

Municipal Securities Principal Examination

Current Firm

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805 / SEC#: 801-54810, 8-48842

RIA

Registered Investment Advisory firm - SEC (8/26/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

227 West Monroe Street 7th Floor, Chicago, IL 60606

Mailing Address

702 King Farm Blvd Ste 200, Rockville, MD 20850

Phone number

(312) 357-0287

Established

Delaware since 11/09/1995

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

250

SEC notice filing (2 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
GUGGENHEIM FUNDS SERVICES, LLC	MEMBER
CHAN, YING	FINANCIAL AND OPERATIONS PRINCIPAL	4956885
COGLIANDRO, DOMINICK NMN	CHIEF OPERATING OFFICER, UNIT INVESTMENT TRUST BUSINESS	1490945
DILORENZO, DINA MARIE	PRESIDENT OF THE BROKER DEALER, GUGGENHEIM FUNDS DISTRIBUTORS, LLC	2664787
LEE, AMY JO	GENERAL COUNSEL, SECRETARY, AND SENIOR MANAGING DIRECTOR	1161869
METZGER, DENNIS RYAN	CHIEF COMPLIANCE OFFICER	4888899
MILLER, ELISABETH ANN	SENIOR MANAGING DIRECTOR	4381813
PARISI, CHRISTOPHER VITO	HEAD OF DISTRIBUTION, SENIOR MANAGING DIRECTOR	2410528

Regulatory assets under management

Total Number of Accounts	279
AUM (Assets Under Management)	$ 6,850,185,742

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.

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Firm Stability Insights

Timothy B. Hall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CALAMOS FINANCIAL SERVICES LLC

LASALLE ST SECURITIES, L.L.C.

BROWNCO, LLC

EDWARD JONES

Primary Firm SEC Registration

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/14/1997

SIE

Date: 10/1/2018

Series 7

Date: 8/11/1997

Series 24

Date: 9/20/2011

Series 53

Date: 7/28/2011

Current Firm

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

TRUST BUT VERIFY

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