Timothy B. Riecken
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy Brian Riecken was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1998. Timothy had worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 26, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2021 - June 24, 2024
SCOTIA CAPITAL (USA) INC.
July 20, 2016 - November 25, 2020
FIFTH THIRD SECURITIES, INC.
July 13, 2010 - June 2, 2016
RBC CAPITAL MARKETS, LLC
October 23, 2009 - July 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 2007 - October 23, 2009
BANC OF AMERICA SECURITIES LLC
October 2, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
September 9, 2002 - July 17, 2007
NEW ENGLAND SECURITIES
September 5, 2002 - July 17, 2007
WALNUT STREET SECURITIES, INC.
December 3, 2001 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 3, 2001 - July 17, 2007
MSI FINANCIAL SERVICES, INC.
November 23, 1998 - May 16, 2001
HARRISDIRECT LLC
July 24, 1998 - September 16, 1998
PATTERSON TRAVIS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/19/2002
Limited Representative-Equity Trader ExamCurrent Firm
SCOTIA CAPITAL (USA) INC.
CRD#: 2739 / SEC#: , 8-3716
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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