Timothy J. Shrout
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 John Shrout, who also goes by Timothy J. Shrout, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2005. Timothy had worked at 9 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2013 - June 5, 2013
SAYBRUS EQUITY SERVICES, LLC
September 25, 2012 - April 1, 2013
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
February 17, 2012 - November 8, 2012
SAYBRUS EQUITY SERVICES, LLC
May 25, 2010 - February 9, 2012
EAGLE STRATEGIES LLC
January 28, 2010 - February 9, 2012
NYLIFE SECURITIES LLC
March 4, 2009 - January 19, 2010
KALOS MANAGEMENT
March 4, 2009 - December 31, 2009
KALOS CAPITAL, INC.
June 3, 2008 - March 4, 2009
M&I FINANCIAL ADVISORS, INC
September 8, 2006 - May 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 2006 - May 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 2005 - July 11, 2005
MILLER CAPITAL MANAGEMENT, 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
Current Firm
SAYBRUS EQUITY SERVICES, LLC
CRD#: 153319 / SEC#: , 8-68521
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAYBRUS HOLDINGS, LLC | PARENT COMPANY | |
| ALI, AZIZ | VICE PRESIDENT | 5030560 |
| CASSIDY, EDWARD WILLIAM JR | EXEC. VP / INTERNAL DIRECTOR | 1606787 |
| COSTENBADER, WALTER RUSSELL | FINOP | 1828345 |
| HALPERIN, JEFFREY PAUL | INTERNAL DIRECTOR | 2899327 |
| LOWE, MOIRA CRONAN | PRESIDENT / CEO / INTERNAL DIRECTOR | 4076427 |
| MOORE, GIDEON CLOYES | CHIEF LEGAL OFFICER | 7011735 |
| SADOWSKI, ADAM MARK | ASSISTANT VICE PRESIDENT | 4578505 |
| SIINO, KATHERINE MARY | AVP & CHIEF COMPLIANCE OFFICER | 1666402 |
| TOMKO, CHRISTINE | CFO, PFO, POO | 6989991 |
| VIETRI, MICHAEL JOSEPH | INTERNAL DIRECTOR | 1068983 |
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.
