Timothy A. Whitmore

Westlake Village, CA

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CRD#: 2962726

Professional summary

Timothy Allen Whitmore, who also goes by Tim Allen Whitmore, Tim A Whitmore, Tim Whitmore, was a registered financial advisor .

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Timothy had worked at 9 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tim Allen Whitmore | Tim A Whitmore | Tim Whitmore

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.

1.) WATERMARK LIFE - 1/1/20 -2659 Townsgate Road, Suite 105, Westlake Village, CA 91361 - Partner, Wholesale life insurance, Invt Rel, Insurance sales business, 160 hrs/mo; 80 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy Allen Whitmore'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 22, 2025 - Present

Westlake Village, CA

Current

October 7, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

February 1, 2023 - October 7, 2025

VANDERBILT SECURITIES, LLC

CRD#: 5953

WestLake Village, CA

Past

July 21, 2021 - December 31, 2022

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

November 3, 2015 - December 9, 2016

STILLPOINT CAPITAL, LLC

CRD#: 133146

TAMPA, FL

Past

November 26, 2014 - September 11, 2015

EMERSON EQUITY LLC

CRD#: 130032

SAN MATEO, CA

Past

June 27, 2003 - October 1, 2007

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

March 19, 2001 - July 2, 2003

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

October 19, 1999 - February 22, 2001

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

October 28, 1997 - March 31, 1999

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Arizona
(9/22/2025)

Arizona
(10/7/2025)

IAR

California
(9/25/2025)

California
(10/7/2025)

Texas
(10/7/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/16/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 7/21/2021

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 7/13/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/26/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/24/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/5/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

THE LEADERS GROUP, INC.

SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP

CRD#: 37157 / SEC#: , 8-47639

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

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Contact information

Main Address

475 Springfield Ave, Summit, NJ 07901

Mailing Address

475 Springfield Ave Suite 1, Summit, NJ 07901

Phone number

(303) 797-9080

Established

Delaware since 07/14/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.	SHAREHOLDER
PETERS, ROBERT WILLIAM	FINOP	1704577
RILEY, ZORAH JANE	CHIEF COMPLIANCE OFFICER	3015509
WICKERSHAM, SEAN DAVID	PRESIDENT	4994630

Disclosures

Regulatory Event

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 A. Whitmore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy Allen Whitmore's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANDERBILT SECURITIES, LLC

THE LEADERS GROUP, INC.

STILLPOINT CAPITAL, LLC

EMERSON EQUITY LLC

PACIFIC SELECT DISTRIBUTORS, LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

COREBRIDGE CAPITAL SERVICES, INC.

SUNAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/16/2021

Series 6TO

Date: 7/21/2021

SIE

Date: 7/13/2021

Series 7

Date: 11/26/2014

Series 6

Date: 10/24/1997

Series 24

Date: 5/5/2003

FINRA

Current Firm

THE LEADERS GROUP, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THE LEADERS GROUP, INC.

TRUST BUT VERIFY

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