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TR

Timothy R. Rolfs

DWS DISTRIBUTORS
New York, NY 10022
Some features on this profile are disabled
CRD#: 4765901
TR

Professional summary

Timothy Ryan Rolfs, CIMA®, who also goes by Timothy R. Rolfs, Timothy Rolfs, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in New York, New York.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2004. Timothy has 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

Are you a "fiduciary"?
No

Aliases

Timothy R. Rolfs | Timothy Rolfs

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy Ryan Rolfs'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

March 8, 2024 - Present

DWS DISTRIBUTORS, INC.

Office #1: 875 Third Avenue, New York, NY 10022
BD
CRD#: 37306
New York, NY
Past

September 8, 2021 - January 9, 2024

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
San Francisco, CA
Past

April 26, 2021 - January 9, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
San Francisco, CA
Past

February 12, 2016 - April 30, 2021

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

February 12, 2016 - April 30, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

June 20, 2014 - January 22, 2016

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
CHARLOTTE, NC
Past

April 24, 2014 - January 2, 2015

NEW ENGLAND SECURITIES

BD
CRD#: 615
CHARLOTTE, NC
Past

April 24, 2014 - January 22, 2016

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
CHARLOTTE, NC
Past

January 9, 2012 - April 8, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
CHARLOTTE, NC
Past

October 25, 2011 - April 8, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
CHARLOTTE, NC
Past

March 10, 2008 - December 22, 2010

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

May 15, 2006 - January 23, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
INDIANAPOLIS, IN
Past

April 20, 2006 - January 23, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
INDIANAPOLIS, IN
Past

June 21, 2004 - March 29, 2006

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(3/8/2024)
RR
North Carolina
(3/8/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/6/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/30/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/17/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/2/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.

CRD#: 37306 / SEC#: , 8-47765

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DWS INVESTMENT MANAGEMENT AMERICAS , INC.SHAREHOLDER
ABBOTT, KEVIN SCHIEF OPERATING OFFICER4210778
BALUYOT, RHEEZA RAMOSCHIEF FINANCIAL OFFICER8028310
CHELEL, NICOLE M.CHIEF COMPLIANCE OFFICER4748490
IKUSS, AMANDA JEANVICE PRESIDENT & DIRECTOR6602098
MAUTE, BRIAN CCHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT2929953
REUTER, MICHELLE SVICE PRESIDENT6572669
SHIELDS, JOHN POWELL JRDIRECTOR & VICE PRESIDENT1950330
WILCZEWSKI, JOEL JOHNVICE PRESIDENT2815498

Disclosures

Regulatory Event5
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

DWS DISTRIBUTORS, INC.

CRD#: 37306New York, NY 10022

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