Timothy L. Klassen
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 Lance Klassen, who also goes by Tim Klassen, Timothy Lance Klassen, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1999. Timothy had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2022 - April 20, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 1, 2019 - September 18, 2020
VICTORY CAPITAL SERVICES, INC.
January 8, 2018 - July 11, 2019
USAA INVESTMENT SERVICES COMPANY
November 2, 2010 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
November 2, 2010 - July 1, 2019
USAA FINANCIAL ADVISORS, INC.
June 7, 2010 - October 4, 2010
CHASE INVESTMENT SERVICES CORP.
June 7, 2010 - October 4, 2010
CHASE INVESTMENT SERVICES CORP.
October 15, 2007 - June 9, 2010
USAA FINANCIAL ADVISORS, INC.
September 23, 2002 - June 9, 2010
USAA INVESTMENT SERVICES COMPANY
August 31, 2000 - December 31, 2007
USAA INVESTMENT SERVICES COMPANY
April 28, 2000 - August 4, 2000
U.S. BANCORP INVESTMENTS, INC.
January 26, 1999 - June 14, 1999
BROKERAGE ADMINISTRATORS CORPORATION
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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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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