Timothy C. Parliman

GALAXY SECURITIES

NEW YORK, NY 10282

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CRD#: 4982335

Professional summary

Timothy C Parliman, who also goes by Tim Parliman, is a registered financial professional currently at GALAXY SECURITIES, LLC located in New York, New York.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2006. Timothy has worked at 9 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tim Parliman

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 C Parliman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 8, 2025 - Present

GALAXY SECURITIES, LLC

Office #1: 300 Vesey Street 13th Floor, New York, NY, 10282

CRD#: 330599

NEW YORK, NY

Past

January 31, 2023 - March 26, 2025

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEW YORK, NY

Past

September 6, 2018 - January 31, 2023

MKM PARTNERS LLC

CRD#: 114666

NEW YORK, NY

Past

July 11, 2016 - September 14, 2018

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

New York, NY

Past

April 20, 2015 - July 5, 2016

CRT CAPITAL GROUP LLC

CRD#: 28830

New York, NY

Past

January 2, 2013 - April 20, 2015

STERNE, AGEE & LEACH, INC.

CRD#: 791

NEW YORK, NY

Past

May 17, 2010 - January 2, 2013

B. RILEY SECURITIES, INC.

CRD#: 25027

NEW YORK, NY

Past

July 28, 2008 - May 18, 2010

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 19, 2006 - June 18, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

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

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

Alabama
(4/15/2025)

Alaska
(4/8/2025)

Arizona
(7/11/2025)

Arkansas
(7/15/2025)

California
(4/8/2025)

Colorado
(4/11/2025)

Delaware
(4/22/2025)

District of Columbia
(7/24/2025)

Florida
(9/2/2025)

Georgia
(4/28/2025)

Hawaii
(6/6/2025)

Idaho
(4/8/2025)

Illinois
(9/17/2025)

Indiana
(8/13/2025)

Iowa
(4/8/2025)

Kansas
(5/2/2025)

Kentucky
(4/8/2025)

Louisiana
(4/8/2025)

Maine
(4/8/2025)

Maryland
(5/12/2025)

Massachusetts
(7/28/2025)

Michigan
(5/19/2025)

Minnesota
(7/10/2025)

Mississippi
(4/8/2025)

Missouri
(6/27/2025)

Montana
(5/23/2025)

Nebraska
(6/9/2025)

Nevada
(4/8/2025)

New Hampshire
(5/2/2025)

New Jersey
(5/16/2025)

New Mexico
(6/16/2025)

New York
(4/8/2025)

North Carolina
(4/8/2025)

North Dakota
(6/26/2025)

Ohio
(4/8/2025)

Oklahoma
(4/8/2025)

Oregon
(7/7/2025)

Pennsylvania
(4/8/2025)

Puerto Rico
(7/18/2025)

Rhode Island
(4/8/2025)

South Carolina
(6/30/2025)

South Dakota
(5/20/2025)

Tennessee
(6/9/2025)

Utah
(4/8/2025)

Vermont
(5/19/2025)

Virgin Islands
(6/5/2025)

Virginia
(5/17/2025)

Washington
(4/8/2025)

West Virginia
(6/4/2025)

Wisconsin
(6/23/2025)

Wyoming
(5/19/2025)

Exams

State Security Law Exam

Series 63

Date: 9/20/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/13/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/18/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GALAXY SECURITIES, LLC

CRD#: 330599 / SEC#: , 8-71232

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

300 Vesey Street 13th Floor, New York, NY, 10282

Mailing Address

300 Vesey Street 13th Floor, New York, NY, 10282

Phone number

(212) 499-0081

Established

Delaware since 03/20/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GALAXY DIGITAL LP	SOLE MEMBER
FALCO, FRANK PETER	ANTI-MONEY LAUNDERING COMPLIANCE OFFICER	5146558
HARVEY, MIKE J	REGISTERED OPTIONS PRINCIPAL	4863310
PREVEZA, DOUGLAS JOHN	CCO	2692333
RICO, ROBERT D	FINOP/PFO	6613472
ROACH, PATRICK JOSEPH	POO	2296361
URBAN, JASON PETER	CEO	4075584

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.

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Firm Stability Insights

Timothy C. Parliman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy C Parliman's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTH CAPITAL PARTNERS, LLC

MKM PARTNERS LLC

ROBERT W. BAIRD & CO. INCORPORATED

CRT CAPITAL GROUP LLC

STERNE, AGEE & LEACH, INC.

B. RILEY SECURITIES, INC.

OPPENHEIMER & CO. INC.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/2006

SIE

Date: 10/1/2018

Series 3

Date: 10/13/2010

Series 7

Date: 9/18/2006

FINRA

Current Firm

GALAXY SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

GALAXY SECURITIES, LLC

TRUST BUT VERIFY

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