Timothy Johnson
Professional summary
Timothy Johnson II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Timothy is a previously registered financial advisor and started their career in finance in 2003. Prior to being barred, Timothy had worked at 7 firms, which includes ASSOCIATED INVESTMENT SERVICES INC., AST INVESTMENT SERVICES INC., PRUDENTIAL ANNUITIES DISTRIBUTORS INC, HIMCO DISTRIBUTION SERVICES COMPANY, U.S. BANCORP INVESTMENTS INC., BANC OF AMERICA INVESTMENT SERVICES INC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2014 - July 16, 2014
ASSOCIATED INVESTMENT SERVICES, INC.
February 11, 2014 - July 16, 2014
ASSOCIATED INVESTMENT SERVICES, INC.
April 26, 2011 - December 18, 2013
AST INVESTMENT SERVICES, INC.
April 26, 2011 - December 18, 2013
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 2, 2010 - April 18, 2011
HIMCO DISTRIBUTION SERVICES COMPANY
March 21, 2007 - February 16, 2010
U.S. BANCORP INVESTMENTS, INC.
March 21, 2007 - February 16, 2010
U.S. BANCORP INVESTMENTS, INC.
February 24, 2006 - March 13, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 24, 2006 - March 13, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 21, 2006 - March 1, 2006
U.S. BANCORP INVESTMENTS, INC.
September 7, 2004 - March 1, 2006
U.S. BANCORP INVESTMENTS, INC.
April 15, 2003 - August 25, 2004
EDWARD JONES
Primary Firm SEC Registration
ASSOCIATED INVESTMENT SERVICES, INC.
CRD#: 1464 / SEC#: 801-71639, 8-99
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
Current Firm
ASSOCIATED INVESTMENT SERVICES, INC.
CRD#: 1464 / SEC#: 801-71639, 8-99
Contact information
SEC notice filing (19 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED TRUST COMPANY, N.A. | SOLE SHAREHOLDER | |
| ARNOLD, ANDREW JAMES | DIRECTOR, TREASURER | 7744204 |
| BIESE, JUSTIN MICHAEL | PRINCIPAL, FINANCIAL REPORTING | 8134423 |
| CRAVILLION, BETH ANN | DIRECTOR OF SUPPORT SERVICES | 4770231 |
| DELOYE, DENNIS MICHAEL | DIRECTOR, BOARD OF DIRECTORS | 7555524 |
| HLADIO, JAYNE CLARA | DIRECTOR, BOARD OF DIRECTORS | 2497546 |
| HOCHHOLZER, MICHAEL ROBERT | DIRECTOR, BOARD OF DIRECTORS | 2878493 |
| KUIPERS, MICHAEL DAVID | DIRECTOR, PRESIDENT & CEO | 2436388 |
| PECORA, ANTHONY PHILIP | CHIEF COMPLIANCE OFFICER | 2975013 |
| SORENSON, HEATH WILLIAM | CHAIRMAN, BOARD OF DIRECTORS | 4528655 |
| ZANDPOUR, STEVEN SIA | DIRECTOR, BOARD OF DIRECTORS | 7174720 |
Regulatory assets under management
| Total Number of Accounts | 5,422 |
| AUM (Assets Under Management) | $ 1,169,239,099 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/15/2025 | ||
| 09/26/2024 | ||
| 08/21/2023 |
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.
