TIMOTHY J. FROST
FIDELITY DISTRIBUTORS COMPANY | Regional Vice President
Smithfield, RI 02917
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CRD#: 4830602
Professional summary
TIMOTHY J FROST, CFP®, CIMA®, who also goes by Timothy J Frost, Timothy John Frost, Timothy Frost, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island.
TIMOTHY is registered as a RR (Registered Representative) and started their career in finance in 2004. TIMOTHY has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Timothy J Frost | Timothy John Frost | Timothy Frost
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.
CRS (Client Relationship Summary) - BD
Click below to view TIMOTHY J FROST'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®
Experience
Current
January 17, 2025 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 900 Salem Street, Smithfield, RI 02917BD
CRD#: 17507
Smithfield, RI
Past
April 15, 2021 - December 4, 2024
FISHER INVESTMENTS
RIA
CRD#: 107342
GRAND RAPIDS, MI
Past
June 3, 2019 - October 23, 2020
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
July 4, 2011 - June 10, 2019
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
FRISCO, TX
Past
June 1, 2010 - June 10, 2019
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
August 9, 2004 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, 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
Alabama(1/27/2025)
RR
Alaska(1/27/2025)
RR
Arizona(1/30/2025)
RR
Arkansas(1/27/2025)
RR
California(1/27/2025)
RR
Colorado(1/17/2025)
RR
Connecticut(1/17/2025)
RR
Delaware(1/27/2025)
RR
District of Columbia(1/17/2025)
RR
Florida(1/17/2025)
RR
Georgia(1/27/2025)
RR
Hawaii(1/27/2025)
RR
Idaho(1/22/2025)
RR
Illinois(1/27/2025)
RR
Indiana(1/27/2025)
RR
Iowa(1/27/2025)
RR
Kansas(1/27/2025)
RR
Kentucky(1/27/2025)
RR
Louisiana(1/17/2025)
RR
Maine(1/27/2025)
RR
Maryland(1/17/2025)
RR
Massachusetts(1/27/2025)
RR
Michigan(1/27/2025)
RR
Minnesota(1/27/2025)
RR
Mississippi(1/27/2025)
RR
Missouri(1/27/2025)
RR
Montana(1/27/2025)
RR
Nebraska(1/27/2025)
RR
Nevada(1/27/2025)
RR
New Hampshire(1/27/2025)
RR
New Jersey(1/27/2025)
RR
New Mexico(1/27/2025)
RR
New York(1/27/2025)
RR
North Carolina(1/27/2025)
RR
North Dakota(1/27/2025)
RR
Ohio(1/28/2025)
RR
Oklahoma(1/27/2025)
RR
Oregon(1/27/2025)
RR
Pennsylvania(1/27/2025)
RR
Puerto Rico(1/17/2025)
RR
Rhode Island(1/27/2025)
RR
South Carolina(1/27/2025)
RR
South Dakota(1/27/2025)
RR
Tennessee(1/27/2025)
RR
Texas(1/27/2025)
RR
Utah(1/27/2025)
RR
Vermont(1/27/2025)
RR
Virginia(1/27/2025)
RR
Washington(1/27/2025)
RR
West Virginia(1/27/2025)
RR
Wisconsin(1/27/2025)
RR
Wyoming(1/27/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/16/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FIDELITY DISTRIBUTORS COMPANY LLC
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY
CRD#: 17507 / SEC#: , 8-35097
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone Wg3d, Westlake, TX 76262
Phone number
(800) 237-8132
Established
Delaware since 01/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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.
Company Information
FIDELITY DISTRIBUTORS COMPANY LLC
Regional Vice PresidentCRD#: 17507Smithfield, RI 02917TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
