Timothy Harlan Borman
Professional Summary
Timothy Harlan Borman, who also goes by Tim Borman, Timothy Borman, is a registered financial advisor currently at SMITH, MOORE & CO. located in Fulton, Missouri. Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Timothy has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Timothy Harlan Borman, Tim Borman, Timothy Borman
Similar Advisors
LPL ENTERPRISE, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL ENTERPRISE, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL ENTERPRISE, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
Disclosures on record.
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
LPL ENTERPRISE, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL ENTERPRISE, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
Current Firm
SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.
Contact Information
Main Address
7777 Bonhomme Ave., Suite 2400 Suite 2400, Clayton, MO 63105Mailing Address
7777 Bonhomme Ave., Suite 2400, Clayton, MO 63105Phone Number
(314) 727-5225Established
Missouri since 12/23/1981Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
65SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEUTSCH, STEWART JAMES JR | PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR | 2537447 |
| SCHULTE, TIMOTHY EUGENE | CHAIRMAN OF THE BOARD, DIRECTOR | 1869986 |
| RHYNER, RANDALL PAUL | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2443274 |
| SCHMIDT, KENT CHARLES | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2153325 |
| BRAGG, MATTHEW EDWARD | EXECUTIVE VICE PRESIDENT, SECRETARY, DIRECTOR | 2279799 |
| BRODY, AMY LYNN | CHIEF FINANCIAL OFFICER, FINOP | 6486826 |
| KRAFT, BARBARA ANN | CHIEF OPERATING OFFICER | 1225082 |
| MORAN, DANIEL PATRICK | CHIEF TECHNOLOGY OFFICER | 2685632 |
| PERRYMAN, JARET DALIN | CHIEF COMPLIANCE OFFICER | 3034594 |
Regulatory Assets Under Management
Total Number of Accounts
5,865AUM (Assets Under Management)
$2,371,739,897Disclosures
Regulatory Event
7Arbitration
2Similar Advisors
LPL ENTERPRISE, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL ENTERPRISE, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
Primary Firm SEC Registration
SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.
State Registrations and Notice Filings
(2/5/2021)
(3/14/2023)
(7/17/2025)
(2/5/2021)
(2/5/2021)
(2/5/2021)
(2/5/2021)
(2/5/2021)
(4/28/2026)
(3/9/2021)
(9/20/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
LPL ENTERPRISE, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Harlan Borman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Harlan Borman's CRS (Customer Relationship Summary).
Similar Advisors
LPL ENTERPRISE, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
J.P. MORGAN SECURITIES LLC
RBC CAPITAL MARKETS, LLC