Timothy J. Bayee

FIRST TRUST ADVISORS LP

WHEATON, IL 60187

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CRD#: 3132211

Professional summary

Timothy Jay Bayee, CIMA® is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Wheaton, Illinois and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

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 10 firms and has passed the Series 66, 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.

OTHER BUSINESS NAME: CITY OF WHEATON-POLICE PENSION BOARD. LOCATION: WHEATON, IL. NATURE OF BUSINESS: ADMINISTRATION OF THE POLICE PENSION FUND. POSITION OR TITLE: UNPAID VOLUNTEER POSITION. RESPONSIBILITIES: QUARTERLY MEETING WITH CITY INVESTMENT ADVISOR TO DISCUSS THEIR INVESTMENT RECOMENDATIONS IN ADDITION TO PERIODIC DISABILITY HEARINGS. INVESTMENT RELATED: NO. HOURS PER MONTH: 2 HOURS PER QUARTER/NONE DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Jay Bayee's CRS (Customer Relationship Summary).

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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 17, 2012 - Present

FIRST TRUST ADVISORS LP

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

RIA

CRD#: 107027

WHEATON, IL

Current

September 17, 2012 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

CRD#: 28519

WHEATON, IL

Past

July 30, 2012 - October 2, 2012

TD AMERITRADE, INC.

RIA

CRD#: 7870

SCHAUMBURG, IL

Past

July 30, 2012 - October 2, 2012

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SCHAUMBURG, IL

Past

July 30, 2012 - October 2, 2012

TD AMERITRADE, INC.

CRD#: 7870

SCHAUMBURG, IL

Past

November 17, 2011 - July 12, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

OAK BROOK, IL

Past

November 16, 2011 - July 12, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

OAK BROOK, IL

Past

September 13, 2010 - September 30, 2011

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

JOPLIN, MO

Past

April 2, 2009 - August 19, 2010

SAMUELS CHASE & CO., INC.

CRD#: 36699

SANTA YSABEL, CA

Past

October 29, 2007 - December 24, 2008

VAN KAMPEN ADVISORS INC

RIA

CRD#: 104703

NEW YORK, NY

Past

July 3, 2002 - December 24, 2008

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

OAKBROOK TERRACE, IL

Past

September 27, 2001 - July 2, 2002

ATEL SECURITIES CORPORATION

CRD#: 17229

SAN FRANCISCO, CA

Past

December 24, 1998 - September 27, 2001

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

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".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 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.

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

Illinois
(9/17/2012)

IAR

Illinois
(9/17/2012)

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

State Security Law Exam

IAR

Series 66

Date: 10/27/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/25/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/20/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/19/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

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.

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Timothy J. Bayee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Jay Bayee's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MIDAMERICA FINANCIAL SERVICES, INC.

SAMUELS CHASE & CO., INC.

VAN KAMPEN ADVISORS INC

INVESCO CAPITAL MARKETS, INC.

ATEL SECURITIES CORPORATION

INVESCO CAPITAL MARKETS, INC.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2007

Series 63

Date: 1/25/1999

SIE

Date: 10/1/2018

Series 7

Date: 3/20/1999

Series 6

Date: 12/19/1998

FINRA

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

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