Timothy B. Clepper

ELLSWORTH ADVISORS

Hudson, OH 44236

Some features on this profile are disabled

CRD#: 2960727

Professional summary

Timothy Banks Clepper is a registered financial advisor currently at ELLSWORTH ADVISORS, LLC located in Hudson, Ohio.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Timothy has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Timothy Banks Clepper is President of Kaulig Companies Ltd., a single member family office. Rock & Roll Hall of Fame; investment related: No; Location of the business: 1100 Rock and Roll Boulevard, Cleveland, Ohio 44114; Description of the business: The Rock Hall is a nonprofit charitable organization with a mission to engage, teach and inspire through the power of rock & roll.; Position Title: Board Member; Responsibilities Duties: Attend meetings; Start date with business: 2019-10-12; Hours devoted to business during trading hours: 1; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 0. Timothy Banks Clepper is a Board member of Akron Children's Hospital.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Banks Clepper's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 4, 2018 - Present

ELLSWORTH ADVISORS, LLC

Office #1: 1764 Georgetown Road, Hudson, OH 44236

RIA

CRD#: 297464

Hudson, OH

Past

January 9, 2015 - November 22, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

HUDSON, OH

Past

January 9, 2015 - July 23, 2018

STRATOS WEALTH PARTNERS, LTD

RIA

CRD#: 153184

HUDSON, OH

Past

January 9, 2015 - November 22, 2016

LPL FINANCIAL LLC

CRD#: 6413

HUDSON, OH

Past

September 28, 2009 - January 23, 2015

MORGAN STANLEY

RIA

CRD#: 149777

HUDSON, OH

Past

September 25, 2009 - January 23, 2015

MORGAN STANLEY

CRD#: 149777

HUDSON, OH

Past

January 31, 2007 - October 5, 2009

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

CLEVELAND, OH

Past

July 12, 2002 - October 5, 2009

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

CLEVELAND, OH

Past

November 6, 1997 - August 9, 2002

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

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".

ELLSWORTH ADVISORS, LLC

CRD#: 297464 / SEC#: 801-113634

RIA

Registered Investment Advisory firm - (7/19/2018 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(9/4/2018)

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

IAR

Series 65

Date: 12/5/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/26/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/22/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/24/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/5/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/26/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/16/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

ELLSWORTH ADVISORS, LLC

CRD#: 297464 / SEC#: 801-113634

RIA

Registered Investment Advisory firm - (7/19/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1764 Georgetown Road, Hudson, OH 44236

Mailing Address

Phone number

(234) 200-0703

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

02 ADV PART 2A APPENDIX 1 (WRAP FEE PROGRAM BROCHURE) FOR ACCOUNTS HELD AT CHARLES SCHWAB 2024-05 (2/28/2025)

ADV PART 2A (FIRM BROCHURE) FOR ACCOUNTS HELD AT CHARLES SCHWAB 2025-02 (2/28/2025)

Regulatory assets under management

Total Number of Accounts	1,863
AUM (Assets Under Management)	$ 1,185,403,327

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.

Similar Advisors

Boris Kagarlitskiy

KEY INVESTMENT SERVICES LLC

IAR

University Heights, OH

James Magyari

COMMONWEALTH FINANCIAL NETWORK

IAR

Solon, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Timothy B. Clepper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Banks Clepper's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

STRATOS WEALTH PARTNERS, LTD

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

KEYBANC CAPITAL MARKETS INC.

Primary Firm SEC Registration

ELLSWORTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/1997

Series 63

Date: 11/26/1997

SIE

Date: 11/22/2016

Series 31

Date: 12/24/2007

Series 7

Date: 11/5/1997

Series 10

Date: 11/26/2002

Series 9

Date: 9/16/2002

Current Firm

ELLSWORTH ADVISORS, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLSWORTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors