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Timothy J. Banks

THE WORLEY BANKS GROUP
Creve Coeur, MO 63141
Some features on this profile are disabled
CRD#: 4497630
TB

Professional summary

Timothy Joseph Banks, who also goes by Tim Banks, is a registered financial advisor currently at THE WORLEY BANKS GROUP, LLC located in Creve Coeur, Missouri.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Timothy has worked at 9 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tim Banks

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.
1) THE WORLEY BANKS GROUP, YES, ST. LOUIS, MO, INSURANCE, INDEPENDENT INSURANCE AGENT, 05/2020, 20 HOURS PER MONTH, 10 HOURS PER MONTH DURING TRADING HOURS, INSURANCE SALES. 2)OLD WEBSTER OWNERSHIP, LLC, NO, ST. LOUIS, MO, REAL ESTATE, SHARE CLASS OWNER, 2019, 0 HOURS PER MONTH, PASSIVE INVESTOR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Joseph Banks's CRS (Customer Relationship Summary).
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

May 20, 2020 - Present

THE WORLEY BANKS GROUP, LLC

Office #1: 6 Cityplace Drive Suite 460, Creve Coeur, MO 63141
RIA
CRD#: 306890
Creve Coeur, MO
Past

June 4, 2018 - May 21, 2020

PRIVATE CLIENT SERVICES, LLC

BD
CRD#: 120222
Creve Coeur, MO
Past

August 11, 2014 - September 4, 2020

RFG ADVISORY, LLC

RIA
CRD#: 158401
CREVE COEUR, MO
Past

December 8, 2010 - October 28, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
CREVE COEUR, MO
Past

December 7, 2010 - June 8, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
CREVE COEUR, MO
Past

October 22, 2007 - December 8, 2010

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
FESTUS, MO
Past

October 22, 2007 - December 8, 2010

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
FESTUS, MO
Past

March 20, 2007 - October 22, 2007

AMERICAN GENERAL SECURITIES INCORPORATED

RIA
CRD#: 13626
FESTUS, MO
Past

January 12, 2007 - October 22, 2007

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
FESTUS, MO
Past

October 1, 2002 - December 31, 2006

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
FESTUS, MO
Past

June 28, 2002 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
HOUSTON, TX
Past

March 15, 2002 - May 31, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

March 15, 2002 - May 31, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TW
THE WORLEY BANKS GROUP, LLC
THE WORLEY BANKS GROUP, LLC

CRD#: 306890 / SEC#: 801-118683

RIA
Registered Investment Advisory firm - (5/8/2020 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Missouri
(5/20/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/15/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/18/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/14/2002
General Securities Representative Examination

Current Firm

TW
THE WORLEY BANKS GROUP, LLC
THE WORLEY BANKS GROUP, LLC

CRD#: 306890 / SEC#: 801-118683

RIA
Registered Investment Advisory firm - (5/8/2020 Approved)
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Contact information

Main Address
6 Cityplace Drive Suite 460, Creve Coeur, MO 63141
Mailing Address
Phone number
(314) 530-2700
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (4 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WBG ADV PART 2A (2/26/2025)

Regulatory assets under management

Total Number of Accounts804
AUM (Assets Under Management)$ 164,548,233

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

THE WORLEY BANKS GROUP, LLC

CRD#: 306890Creve Coeur, MO 63141

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