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Timothy J. Breslin

CRD#: 2981153
Some features on this profile are disabled
TB
Timothy James Breslin

Professional summary

Timothy James Breslin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Timothy is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Timothy had worked at 8 firms, which includes TARGETED FINANCIAL PLANNING LLC, B. RILEY WEALTH MANAGEMENT, B. RILEY WEALTH ADVISORS INC., RAYMOND JAMES & ASSOCIATES INC., AMERIPRISE FINANCIAL SERVICES LLC, AMERIPRISE ADVISOR SERVICES INC., JANNEY MONTGOMERY SCOTT LLC, NEW ENGLAND SECURITIES.

Question & Answer

Are you a "fiduciary"?
No

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.
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

May 15, 2023 - September 27, 2024

TARGETED FINANCIAL PLANNING LLC

RIA
CRD#: 325641
Spring City, PA
Past

October 14, 2022 - October 14, 2022

B. RILEY WEALTH MANAGEMENT

RIA
CRD#: 2543
Bryn Mawr, PA
Past

October 13, 2022 - March 2, 2023

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
Bryn Mawr, PA
Past

October 13, 2022 - March 2, 2023

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
Bryn Mawr, PA
Past

December 15, 2015 - October 6, 2022

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
DEVON, PA
Past

December 15, 2015 - October 6, 2022

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
DEVON, PA
Past

October 5, 2009 - January 8, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CONSHOHOCKEN, PA
Past

October 5, 2009 - January 8, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
CONSHOHOCKEN, PA
Past

May 18, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
WILMINGTON, DE
Past

May 8, 2009 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
WILMINGTON, DE
Past

September 15, 2006 - May 15, 2009

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
MEDIA, PA
Past

May 7, 2001 - May 15, 2009

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
MEDIA, PA
Past

February 10, 1998 - May 24, 2001

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/13/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/19/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/6/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/7/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TF
TARGETED FINANCIAL PLANNING LLC
TARGETED FINANCIAL PLANNING LLC | TJB WEALTH MANAGEMENT LLC

CRD#: 325641 / SEC#:

Pennsylvania
Registered Investment Advisory firm - (5/15/2023 Approved)
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Contact information

Main Address
East Stroudsburg, PA
Mailing Address
Phone number
(570) 856-8510
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts91
AUM (Assets Under Management)$ 5,985,384

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.

Company Information

TARGETED FINANCIAL PLANNING LLC

CRD#: 325641

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