Timothy D. Wise
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 David Wise, who also goes by Tim Wise, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1973. Timothy had worked at 7 firms and has passed the Series 63, Series 1, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 1987 - August 6, 1987
INTERCONTINENTAL BROKERAGE CORPORATION
March 14, 1985 - December 22, 1989
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
October 31, 1984 - May 21, 1985
BUCKINGHAM SECURITIES, LTD.
July 21, 1984 - October 26, 1984
J.D. COPPERFIELD, LTD.
February 9, 1984 - June 30, 1984
CITIWIDE SECURITIES CORP.
February 18, 1982 - November 3, 1983
PRUCO SECURITIES, LLC.
May 15, 1973 - November 3, 1983
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 5/10/1973
Registered Representative ExaminationCurrent Firm
INTERCONTINENTAL BROKERAGE CORPORATION
CRD#: 19464 / SEC#: , 8-37506
Contact information
Documents
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.
