Timothy M. Whitney

TRADEWINDS | Managing Director

Raleigh, NC 27612

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CRD#: 4560097

Professional summary

Timothy M. Whitney, CFP®, who also goes by Tim Whitney, is a registered financial advisor currently at TRADEWINDS, LLC located in Raleigh, North Carolina.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Timothy has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Trading individual securities

Trust & estate planning

Financial planning

Retirement planning

What is your current number of clients?

Greater than 100

Are you a "fiduciary"?

Yes

Aliases

Tim Whitney

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. WHITNEY HOLDING INC, INV RELATED, RALEIGH, NC, 1% OWNERSHIP, START 8/9/2011, 0 HOURS, PASSIVE OWNER PRIVATE EQUITY INVESTMENT. 2. WAKEMED FOUNDATION, INV RELATED, RALIEGH, NC, FINANCE COMMITTEE MEMBER/CHAIR, START 1/1/2013, 1 HOURS PER MONTH, ZERO DURING TRADING, OVERSIGHT OF RESERVES, BUDGETING, AND ALLOCATION OF RESOURCES. 3. RENTAL PROPERTY; INV RELATED; RALEIGH, NC; 100% OWNERSHIP, START 8/1/2011; MINIMAL TIME DEVOTED; NOT DURING TRADING HOURS. 4. AUTHOR - TO END ALL SERIES - I, LUCIFER, NOT INV RELATED, RALEIGH, NC, AUTHOR, START 1/1/2015, 20 HOURS PER MONTH/0 DURING TRADING. 5. LEVEL UP; INV RELATED; RALEIGH, NC; LECTURER; START 5/1/2017; 1.5 HR/MO; 0 DURING TRADING; DUTIES: LECTURE ON UNDERSTANDING FINANCIAL FRAUD & MANIPULATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy M. Whitney'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

February 4, 2022 - Present

TRADEWINDS, LLC

Office #1: 4600 Marriott Dr. Suite 200, Raleigh, NC 27612

RIA

CRD#: 316415

Raleigh, NC

Past

March 19, 2004 - January 26, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RALEIGH, NC

Past

December 16, 2003 - January 26, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RALEIGH, NC

Past

August 26, 2002 - October 10, 2003

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

TRADEWINDS, LLC

CRD#: 316415 / SEC#: 801-122614

RIA

Registered Investment Advisory firm - (11/4/2021 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

North Carolina
(2/4/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/18/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/18/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/16/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/15/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/23/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TRADEWINDS, LLC

CRD#: 316415 / SEC#: 801-122614

RIA

Registered Investment Advisory firm - (11/4/2021 Approved)

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Contact information

Main Address

4600 Marriott Dr. Suite 200, Raleigh, NC 27612

Mailing Address

Phone number

(919) 571-2833

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRADEWINDS 2A (10/24/2025)

Regulatory assets under management

Total Number of Accounts	1,633
AUM (Assets Under Management)	$ 560,186,183

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Timothy M. Whitney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy M. Whitney's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

TRADEWINDS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/2004

Series 63

Date: 10/18/2002

SIE

Date: 10/1/2018

Series 31

Date: 8/16/2006

Series 7

Date: 7/15/2003

Series 6

Date: 8/23/2002

Current Firm

TRADEWINDS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRADEWINDS, LLC

TRUST BUT VERIFY

Contact information

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