TB
Timothy H. Borman
SMITH, MOORE & CO.
Fulton, MO 65251
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CRD#: 2982565
TB
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Borman | Timothy Borman
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.
FARMING, 12/1986, OWNER, NON INVESTMENT RELATED, COMPENSATION BASED ON SALES. 2649 STATE RD., KINGDOM CITY, MO 65262, 15 HOURS A MONTH, 5 HOURS DURING SECURITIES HOURS
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).
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
February 5, 2021 - Present
SMITH, MOORE & CO.
Office #1: 534 Court Street, Fulton, MO 65251RIA
BD
CRD#: 3441
Fulton, MO
Current
February 5, 2021 - Present
SMITH, MOORE & CO.
Office #1: 534 Court Street, Fulton, MO 65251RIA
BD
CRD#: 3441
Fulton, MO
Past
January 21, 2014 - February 5, 2021
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
FULTON, MO
Past
June 6, 2011 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
FULTON, MO
Past
December 2, 1998 - February 5, 2021
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
FULTON, MO
Past
January 6, 1998 - October 12, 1998
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
SMITH, MOORE & CO.
SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.
CRD#: 3441 / SEC#: 801-68175, 8-27480
RIA
Registered Investment Advisory firm - SEC (8/8/2007 Approved)Mississippi
Registered Investment Advisory firm - SEC (5/1/2025 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
Alabama(2/5/2021)
RR
Arkansas(3/14/2023)
RR
Florida(2/5/2021)
RR
Iowa(7/17/2025)
RR
Kansas(2/5/2021)
RR
Maryland(2/5/2021)
RR
Missouri(2/5/2021)
IAR
Missouri(2/5/2021)
RR
New Mexico(2/5/2021)
RR
Texas(3/9/2021)
RR
Wisconsin(9/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SMITH, MOORE & CO.
SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.
CRD#: 3441 / SEC#: 801-68175, 8-27480
RIA
Registered Investment Advisory firm - SEC (8/8/2007 Approved)Mississippi
Registered Investment Advisory firm - SEC (5/1/2025 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
7777 Bonhomme Ave., Suite 2400 Suite 2400, Clayton, MO 63105
Mailing Address
7777 Bonhomme Ave., Suite 2400, Clayton, MO 63105
Phone number
(314) 727-5225
Established
Missouri since 12/23/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
65
SEC notice filing (36 States and Territories)
FINRA licenses (52 States and Territories)
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 | 5,353 |
| AUM (Assets Under Management) | $ 2,008,286,156 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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
SMITH, MOORE & CO.
CRD#: 3441Fulton, MO 65251TRUST BUT VERIFY
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