TT
Timothy P. Travis
T&T CAPITAL MANAGEMENT
Coto De Caza, CA
Some features on this profile are disabled
CRD#: 4698981
TT
Professional summary
Timothy P Travis is a registered financial advisor currently at T&T CAPITAL MANAGEMENT located in Coto De Caza, California.
Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Timothy has worked at 7 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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)SeekingAlpha.com. Mr Travis submits investment related research articles for which Mr. Travis receives compensation for to http://www.seekingalpha.com. Seekingalpha.com does not employ Mr. Travis and his relationship is both as a member and contributor to the site. Seekingalpha.com is a platform for investment research. Mr. Travis has been contributing periodically to the site beginning in Nov 2011 and spends about 1-2 hours per week on it, no time is spent on it during securities trading hours. 2)Premier Southwest Benefits Group, Inc. , Insurance is investment related as it pertains to retirement and estate management. 7448 E. Cortez Street Scottsdale, AZ 85260, Agent, 8/16/2023, 10 hours a month, 0 during trading hours Help people find the best insurance solutions given their circumstances, goals, objectives.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy P Travis'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
September 14, 2011 - Present
T&T CAPITAL MANAGEMENT
RIA
CRD#: 158407
Coto De Caza, CA
Past
February 21, 2014 - January 10, 2016
TTCM LLC
RIA
CRD#: 168371
IRVINE, CA
Past
January 27, 2014 - June 6, 2014
DIVERSE FINANCIAL INVESTMENT ADVISORY GROUP
RIA
CRD#: 168965
NEWPORT BEACH, CA
Past
February 4, 2010 - November 10, 2010
VISION BROKERAGE SERVICES, LLC
BD
CRD#: 47927
STAMFORD, CT
Past
April 5, 2007 - October 12, 2011
OPVEST WEALTH MANAGEMENT
RIA
CRD#: 143010
IRVINE, CA
Past
February 1, 2005 - May 17, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
BOLINGBROOK, IL
Past
November 18, 2004 - December 13, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
BOLINGBROOK, IL
Past
August 13, 2004 - November 2, 2004
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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".
TC
T&T CAPITAL MANAGEMENT
OPTIMITRADING.COM | TT CAPITAL MANAGEMENT LLC | TRAVIS, TIMOTHY PHILIP | TIM TRAVIS CAPITAL MANAGEMENT, LLC | T&T INVESTMENT MANAGEMENT, LLC | T&T CAPITAL MANAGEMENT | OPVEST WEALTH MANAGEMENT
CRD#: 158407 / SEC#: 801-129780
RIA
Registered Investment Advisory firm - (4/18/2024 Approved)Arizona
Registered Investment Advisory firm - (4/18/2024 Terminated)California
Registered Investment Advisory firm - (5/18/2024 Terminated)Florida
Registered Investment Advisory firm - (4/18/2024 Terminated)Georgia
Registered Investment Advisory firm - (4/26/2024 Terminated)Illinois
Registered Investment Advisory firm - (4/18/2024 Terminated)Indiana
Registered Investment Advisory firm - (7/26/2019 Terminated)Louisiana
Registered Investment Advisory firm - (10/23/2018 Terminated)Michigan
Registered Investment Advisory firm - (4/30/2024 Terminated)New York
Registered Investment Advisory firm - (4/18/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/19/2024 Terminated)South Carolina
Registered Investment Advisory firm - (4/18/2024 Terminated)Texas
Registered Investment Advisory firm - (4/18/2024 Terminated)Virginia
Registered Investment Advisory firm - (4/23/2024 Terminated)Washington
Registered Investment Advisory firm - (5/20/2024 Terminated)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
Arizona(3/21/2025)
IAR
California(9/14/2011)
IAR
Texas(1/1/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TC
T&T CAPITAL MANAGEMENT
OPTIMITRADING.COM | TT CAPITAL MANAGEMENT LLC | TRAVIS, TIMOTHY PHILIP | TIM TRAVIS CAPITAL MANAGEMENT, LLC | T&T INVESTMENT MANAGEMENT, LLC | T&T CAPITAL MANAGEMENT | OPVEST WEALTH MANAGEMENT
CRD#: 158407 / SEC#: 801-129780
RIA
Registered Investment Advisory firm - (4/18/2024 Approved)Arizona
Registered Investment Advisory firm - (4/18/2024 Terminated)California
Registered Investment Advisory firm - (5/18/2024 Terminated)Florida
Registered Investment Advisory firm - (4/18/2024 Terminated)Georgia
Registered Investment Advisory firm - (4/26/2024 Terminated)Illinois
Registered Investment Advisory firm - (4/18/2024 Terminated)Indiana
Registered Investment Advisory firm - (7/26/2019 Terminated)Louisiana
Registered Investment Advisory firm - (10/23/2018 Terminated)Michigan
Registered Investment Advisory firm - (4/30/2024 Terminated)New York
Registered Investment Advisory firm - (4/18/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/19/2024 Terminated)South Carolina
Registered Investment Advisory firm - (4/18/2024 Terminated)Texas
Registered Investment Advisory firm - (4/18/2024 Terminated)Virginia
Registered Investment Advisory firm - (4/23/2024 Terminated)Washington
Registered Investment Advisory firm - (5/20/2024 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Gilbert, AZ
Mailing Address
Phone number
(805) 886-8140
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 591 |
| AUM (Assets Under Management) | $ 163,239,813 |
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.
