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Timothy W. Floyd
PORTSIDE WEALTH GROUP
St George, UT
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CRD#: 2966820
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Professional summary
Timothy William Floyd is a registered financial advisor currently at PORTSIDE WEALTH GROUP, LLC located in St George, Utah.
Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Timothy has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
MR. FLOYD is Borad President of THE "Root for Kids" CENTER" A NON-PROFIT ORGANIZATION. HIS DUTIES THEREIN ARE NON-INVESTMENT RELATED. THE ADDRESS FOR THIS NON-PROFIT ST. GEORGE, UT 84770. HIS START DATE WAS JUNE OF 2000. HE DEVOTES A TOTAL OF 2 HOURS PER MONTH WITH ZERO HOURS PERFORMED DURING TRADING HOURS. Mr. Floyd is a Member of the Board of Friends of Learning Center, a non-profit organization. HIS DUTIES THEREIN ARE NON-INVESTMENT RELATED. THE ADDRESS FOR THIS NON-PROFIT ST. GEORGE, UT 84770. HIS START DATE WAS JUNE OF 2000. HE DEVOTES A TOTAL OF 2 HOURS PER MONTH WITH ZERO HOURS PERFORMED DURING TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Timothy William Floyd's 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®
NoneExperience
Current
April 24, 2023 - Present
PORTSIDE WEALTH GROUP, LLC
RIA
CRD#: 325175
St George, UT
Past
April 24, 2018 - June 23, 2023
TOWNSQUARE CAPITAL, LLC
RIA
CRD#: 288576
ST. GEORGE, UT
Past
August 19, 2016 - April 27, 2018
YELLOWSTONE PARTNERS
RIA
CRD#: 137236
ST. GEORGE, UT
Past
September 19, 2007 - June 10, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
ST GEORGE, UT
Past
September 18, 2007 - June 10, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
ST GEORGE, UT
Past
July 8, 2005 - September 12, 2007
SECU BROKERAGE SERVICES
RIA
CRD#: 19899
ST GEORGE, UT
Past
July 8, 2005 - September 12, 2007
SECU BROKERAGE SERVICES
BD
CRD#: 19899
ST GEORGE, UT
Past
January 13, 2004 - July 8, 2005
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHICO, CA
Past
January 13, 2004 - July 8, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
December 15, 2003 - January 12, 2004
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SALT LAKE CITY, UT
Past
September 27, 2001 - January 12, 2004
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
February 15, 1999 - September 18, 2001
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
November 28, 1997 - September 18, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
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".
PW
PORTSIDE WEALTH GROUP, LLC
ALIGNMENT FINANCIAL ADVISORS | VITAL RETIREMENT | VISION TREE FINANCIAL ADVISORS | TWF WEALTH MANAGEMENT | TURNING POINT FINANCIAL GROUP | TRUROCK WEALTH | SUNCREST ADVISORS | SMART FINANCIAL | SEYMOUR FINANCIAL | SCOTT STEPHAN IFS | PORTSIDE WEALTH GROUP, LLC | PODUNK FINANCIAL | OXFORD WEALTH ADVISORS | OXFORD FINANCIAL GROUP | MCKELL PARTNERS | LEGACY WEALTH INVESTMENT COUNSEL | JOHNSTONROGERS | JEFFREY R WANGSGARD AND ASSOCIATES | HURST FINANCIAL CONSULTING | HUDSON OAKS WEALTH MANAGEMENT | GREEN STREET WEALTH ADVISORS | FRONTIER ADVISOR GROUP | FINANCIAL FOUNDATIONS | DOLEMAN WEALTH MANAGEMENT | CAPITAL PROTECTION INSURANCE | CANYON STRATEGIC WEALTH GROUP | CACHE FINANCIAL | BRIGHTSIDE WEALTH MANAGEMENT | BREVITY WEALTH SOLUTIONS | AVENTUS WEALTH
CRD#: 325175 / SEC#: 801-127529
RIA
Registered Investment Advisory firm - (3/24/2023 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
Texas(6/9/2023)
IAR
Utah(4/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PW
PORTSIDE WEALTH GROUP, LLC
ALIGNMENT FINANCIAL ADVISORS | VITAL RETIREMENT | VISION TREE FINANCIAL ADVISORS | TWF WEALTH MANAGEMENT | TURNING POINT FINANCIAL GROUP | TRUROCK WEALTH | SUNCREST ADVISORS | SMART FINANCIAL | SEYMOUR FINANCIAL | SCOTT STEPHAN IFS | PORTSIDE WEALTH GROUP, LLC | PODUNK FINANCIAL | OXFORD WEALTH ADVISORS | OXFORD FINANCIAL GROUP | MCKELL PARTNERS | LEGACY WEALTH INVESTMENT COUNSEL | JOHNSTONROGERS | JEFFREY R WANGSGARD AND ASSOCIATES | HURST FINANCIAL CONSULTING | HUDSON OAKS WEALTH MANAGEMENT | GREEN STREET WEALTH ADVISORS | FRONTIER ADVISOR GROUP | FINANCIAL FOUNDATIONS | DOLEMAN WEALTH MANAGEMENT | CAPITAL PROTECTION INSURANCE | CANYON STRATEGIC WEALTH GROUP | CACHE FINANCIAL | BRIGHTSIDE WEALTH MANAGEMENT | BREVITY WEALTH SOLUTIONS | AVENTUS WEALTH
CRD#: 325175 / SEC#: 801-127529
RIA
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Contact information
Main Address
3507 N University Ave Suite 150, Provo, UT 84604
Mailing Address
Phone number
(385) 412-1222
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,507 |
| AUM (Assets Under Management) | $ 1,125,318,236 |
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.
