Timothy R. Rolfs
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 Ryan Rolfs, CIMA®, who also goes by Timothy R. Rolfs, Timothy Rolfs, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2004. Timothy had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2024 - May 28, 2026
DWS DISTRIBUTORS, INC.
September 8, 2021 - January 9, 2024
CHARLES SCHWAB & CO., INC.
April 26, 2021 - January 9, 2024
CHARLES SCHWAB & CO., INC.
February 12, 2016 - April 30, 2021
LPL FINANCIAL LLC
February 12, 2016 - April 30, 2021
LPL FINANCIAL LLC
June 20, 2014 - January 22, 2016
MSI FINANCIAL SERVICES, INC.
April 24, 2014 - January 2, 2015
NEW ENGLAND SECURITIES
April 24, 2014 - January 22, 2016
MSI FINANCIAL SERVICES, INC.
January 9, 2012 - April 8, 2014
LPL FINANCIAL LLC
October 25, 2011 - April 8, 2014
LPL FINANCIAL LLC
March 10, 2008 - December 22, 2010
GOLDMAN SACHS & CO. LLC
May 15, 2006 - January 23, 2008
CITIGROUP GLOBAL MARKETS INC.
April 20, 2006 - January 23, 2008
CITIGROUP GLOBAL MARKETS INC.
June 21, 2004 - March 29, 2006
CHARLES SCHWAB & CO., INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
DWS DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
