Timothy T. Vickery
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 Taylor Vickery, who also goes by Tim VIckery, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1969. Timothy had worked at 14 firms and has passed the Series 65, Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - August 9, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 1, 2004 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 2002 - June 29, 2004
NEFPG
June 2, 1999 - August 9, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 2, 1997 - June 2, 1999
SII INVESTMENTS, INC.
February 18, 1993 - May 20, 1997
MARINER FINANCIAL SERVICES, INC.
November 17, 1992 - January 11, 1993
FIDELITY EQUITY SERVICES CORPORATION
June 25, 1991 - October 26, 1992
HORNOR, TOWNSEND & KENT, LLC
March 22, 1990 - June 20, 1991
TITAN/VALUE EQUITIES GROUP, INC.
January 9, 1987 - March 26, 1990
TOM CHURCH SECURITIES, INC.
January 24, 1986 - June 12, 1986
MAI SECURITIES CORPORATION
April 19, 1978 - January 6, 1986
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 28, 1972 - April 6, 1978
SECURITIES RESOURCE GROUP, LTD.
April 2, 1971 - February 29, 1972
WORLD CAPITAL BROKERAGE, INC.
November 25, 1969 - May 2, 1971
INTERNATIONAL SECURITIES CORP.
April 14, 1969 - August 30, 1973
INDEPENDENT SECURITIES CORPORATION
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 1
Date: 2/21/1968
Registered Representative ExaminationSeries 40
Date: 10/30/1978
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
