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TW

Timothy P. Woods

TJM INVESTMENTS
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 4268601
TW

Professional summary

Timothy Peter Woods is a registered financial professional currently at TJM INVESTMENTS, LLC located in Chicago, Illinois.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2000. Timothy has worked at 8 firms and has passed the Series 63, Series 66, Series 57TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy Peter Woods's 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®
None

Experience

Current

June 17, 2020 - Present

TJM INVESTMENTS, LLC

Office #1: Cboe Trading Floor 141 West Jackson Boulevard, Chicago, IL 60604
BD
CRD#: 46300
Chicago, IL
Past

March 23, 2020 - April 1, 2020

TJM INVESTMENTS, LLC

BD
CRD#: 46300
CHICAGO, IL
Past

July 12, 2017 - July 1, 2020

TRINITY EXECUTIONS, LLC

BD
CRD#: 159105
CHICAGO, IL
Past

March 1, 2017 - June 30, 2017

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
CHICAGO, IL
Past

December 1, 2014 - March 1, 2017

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
Chicago, IL
Past

May 28, 2014 - December 1, 2014

LIQUIDPOINT, LLC

BD
CRD#: 47658
CHICAGO, IL
Past

October 1, 2008 - March 14, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

March 15, 2004 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
CHICAGO, IL
Past

May 24, 2002 - January 28, 2004

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
CHICAGO, IL
Past

November 9, 2000 - March 20, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/12/2004
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/8/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/19/2005
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/8/2000
General Securities Representative Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

TI
TJM INVESTMENTS, LLC
MND PARTNERS | TJM SECURITIES, LLC | TJM INVESTMENTS, LLC

CRD#: 46300 / SEC#: , 8-51370

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
318 W. Adams Street Suite 900, Chicago, IL 60606
Mailing Address
318 W. Adams Street 9th Floor, Chicago, IL 60606
Phone number
(312) 432-5100
Established
Illinois since 10/13/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TJM HOLDINGS, LLCHOLDING COMPANY
BEITLER, STEVE ALLENCHIEF EXECUTIVE OFFICER1893827
BURKE, JOHN TERRENCECHIEF OPERATING OFFICER2116593
DANG, STACY BINHCHIEF COMPLIANCE OFFICER3143275
MURPHY, THOMAS JAMESCO-MANAGER857354
RISINGER, COLLEEN SULLIVANFINOP CFO2812053
SKWERES, DENISE PAREJKOFINOP CFO5332253
WARD, BARRY DANIELMANAGING DIRECTOR1584523

Disclosures

Regulatory Event12

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.

Company Information

TJM INVESTMENTS, LLC

CRD#: 46300Chicago, IL 60604

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