Timothy Dugdale
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 Dugdale, who also goes by Timothy J. Dugdale, Timothy John Dugdale, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2005. Timothy had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 45 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2012 - November 21, 2014
STATE FARM VP MANAGEMENT CORP.
April 13, 2011 - July 12, 2011
T3 TRADING GROUP, LLC
August 6, 2010 - March 11, 2011
WADDELL & REED
August 6, 2010 - March 11, 2011
WADDELL & REED
June 1, 2009 - June 3, 2010
MORGAN STANLEY
June 1, 2009 - June 3, 2010
MORGAN STANLEY
August 16, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 16, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 7, 2007 - May 14, 2007
BANCWEST INVESTMENT SERVICES, INC.
March 7, 2007 - May 14, 2007
BANCWEST INVESTMENT SERVICES, INC.
September 11, 2006 - November 2, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
July 7, 2006 - November 2, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
May 12, 2005 - November 18, 2005
CITIGROUP DERIVATIVES MARKETS 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 45
Date: 8/9/1999
PCX Floor Broker ExamCurrent Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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.
