Ty F. Solsbery
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.
Ty Fowler Solsbery was a registered financial professional .
Ty is a previously registered financial professional and started their career in finance in 1999. Ty had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2016 - February 22, 2018
CIM SECURITIES, LLC
April 4, 2013 - May 21, 2013
DIRECT ACCESS PARTNERS LLC
March 8, 2011 - April 17, 2013
RBC CAPITAL MARKETS, LLC
March 3, 2011 - April 17, 2013
RBC CAPITAL MARKETS, LLC
November 27, 2007 - September 23, 2009
HOWARD WEIL INCORPORATED
January 31, 2003 - December 17, 2007
UBS FINANCIAL SERVICES INC.
January 31, 2003 - December 17, 2007
UBS FINANCIAL SERVICES INC.
December 2, 1999 - February 4, 2003
MORGAN STANLEY & CO. LLC
October 6, 1999 - February 4, 2003
MORGAN STANLEY & CO. LLC
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
CIM SECURITIES, LLC
CRD#: 120852 / SEC#: , 8-65351
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 4 |
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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