TL
Timothy E. Leroux
WELLS FARGO SECURITIES
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 4475118
TL
Professional summary
Timothy E Leroux, who also goes by Tim Leroux, Timothy Edward Leroux, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in Charlotte, North Carolina.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 2002. Timothy has worked at 11 firms and has passed the Series 63, Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tim Leroux | Timothy Edward Leroux
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.
CRS (Client Relationship Summary) - BD
Click below to view Timothy E Leroux'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®
NoneExperience
Current
November 18, 2022 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 550 South Tryon Street, Charlotte, NC 28202BD
CRD#: 126292
CHARLOTTE, NC
Past
July 3, 2019 - December 6, 2021
BROYHILL ASSET MANAGEMENT, LLC
RIA
CRD#: 120462
LENOIR, NC
Past
September 1, 2018 - April 29, 2019
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
New York, NY
Past
March 28, 2017 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
BD
CRD#: 151705
NEW YORK, NY
Past
December 7, 2016 - February 16, 2017
STORMHARBOUR SECURITIES LP
BD
CRD#: 35997
NEW YORK, NY
Past
November 2, 2015 - December 14, 2016
IMPERIAL CAPITAL, LLC
BD
CRD#: 43744
Charlotte, NC
Past
May 10, 2011 - July 14, 2015
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
January 5, 2009 - March 25, 2011
BEDROK SECURITIES LLC
BD
CRD#: 13134
RYE, NY
Past
October 6, 2006 - January 14, 2009
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
March 23, 2005 - September 12, 2006
STONECASTLE SECURITIES, LLC
BD
CRD#: 131211
NEW YORK, NY
Past
June 18, 2003 - March 15, 2005
SANDLER, O'NEILL & PARTNERS, L.P.
BD
CRD#: 23328
NEW YORK, NY
Past
August 8, 2002 - June 12, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(7/17/2024)
RR
Alaska(7/17/2024)
RR
Arizona(7/17/2024)
RR
Arkansas(7/17/2024)
RR
California(7/17/2024)
RR
Colorado(7/17/2024)
RR
Connecticut(7/17/2024)
RR
Delaware(7/17/2024)
RR
District of Columbia(7/17/2024)
RR
Florida(7/17/2024)
RR
Georgia(7/17/2024)
RR
Hawaii(7/17/2024)
RR
Idaho(7/17/2024)
RR
Illinois(7/17/2024)
RR
Indiana(7/17/2024)
RR
Iowa(7/17/2024)
RR
Kansas(7/17/2024)
RR
Kentucky(7/17/2024)
RR
Louisiana(7/17/2024)
RR
Maine(7/17/2024)
RR
Maryland(7/17/2024)
RR
Massachusetts(7/17/2024)
RR
Michigan(7/17/2024)
RR
Minnesota(7/17/2024)
RR
Mississippi(7/17/2024)
RR
Missouri(7/17/2024)
RR
Montana(7/17/2024)
RR
Nebraska(7/17/2024)
RR
Nevada(7/17/2024)
RR
New Hampshire(7/17/2024)
RR
New Jersey(7/17/2024)
RR
New Mexico(7/17/2024)
RR
New York(7/17/2024)
RR
North Carolina(11/18/2022)
RR
North Dakota(7/17/2024)
RR
Ohio(7/17/2024)
RR
Oklahoma(7/17/2024)
RR
Oregon(7/17/2024)
RR
Pennsylvania(7/17/2024)
RR
Puerto Rico(7/17/2024)
RR
Rhode Island(7/17/2024)
RR
South Carolina(7/17/2024)
RR
South Dakota(7/17/2024)
RR
Tennessee(7/17/2024)
RR
Texas(7/17/2024)
RR
Utah(7/17/2024)
RR
Vermont(7/17/2024)
RR
Virgin Islands(7/17/2024)
RR
Virginia(7/17/2024)
RR
Washington(7/17/2024)
RR
West Virginia(7/17/2024)
RR
Wisconsin(7/17/2024)
RR
Wyoming(7/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 11/18/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WELLS FARGO SECURITIES, LLC
WACHOVIA CAPITAL MARKETS, LLC | WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING | WACHOVIA CORPORATE & INVESTMENT BANKING, LLC
CRD#: 126292 / SEC#: , 8-65876
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202
Mailing Address
1 N Jefferson Ave H0004-063, St. Louis, MO 63103
Phone number
(314) 875-3286
Established
Delaware since 03/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
