TE
Timothy J. Erb
ALLEN INVESTMENT MANAGEMENT
New York, NY 10022
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CRD#: 5003201
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Professional summary
Timothy J Erb, who also goes by Timothy J. Erb, is a registered financial advisor currently at ALLEN INVESTMENT MANAGEMENT, LLC located in New York, New York.
Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Timothy has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Timothy J. Erb
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.
Entity Name: The HOPE Program Investment related: Yes Address: One Smith Street, 4th Floor Brooklyn, New York 11201-5111 Nature of the other business: HOPE empowers New Yorkers living in poverty to achieve economic self-sufficiency through employment and advancement Position/Title/Relationship: Director Start Date: 01 Jun 2012 Approximate # of hours a month: 1-2 Approximate # of hours during securities hours: 0 Briefly describe your duties: I serve on the Investment Committee for HOPE Entity Name: LaSalle College High School Investment related: Yes Address: 8605 Cheltenham Ave, Glenside PA 19038 Nature of the other business: The activity is related to a tax-exempt non-profit. Position/Title/Relationship: Trustee Start Date: 01 Oct 2013 Approximate # of hours a month: 2-3hrs per month Approximate # of hours during securities hours: 0 Briefly describe your duties: Trustee Entity Name: Lucy S.I.C, LLC Investment related: No Address: 110 82nd St - East Unit Sea Isle, City NJ 08243 Nature of the other business: The entity was formed to hold a family vacation home. The members of the LLC include: Timothy Erb Jr. (managing member), Greg Erb, Joann Erb, Timothy Erb Sr. The home is used by the family. The members will periodically rent the property. Position/Title/Relationship: Other Start Date: 01-May-2012 Approximate # of hours a month: less than 1 hour a month. Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Managing Member of the LLC. Pay bills for LLC/vacation home and file appropriate paperwork/taxes. Entity Name: Prep for Prep Investment related: No Address: 328 West 71st Street New York, NY 10023 Nature of the other business: Prep for Prep is a non-profit focused on providing educational opportunities to students from diverse backgrounds. Position/Title/Relationship: Associates Council Start Date: 2011 Approximate # of hours a month: 1-2 hours a month. Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I serve on the Associates Council. I receive no financial compensation and have no investment related responsibilities.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy J Erb'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®
NoneExperience
Current
September 29, 2021 - Present
ALLEN INVESTMENT MANAGEMENT, LLC
Office #1: 711 Fifth Avenue 10th Floor, New York, NY, 10022RIA
CRD#: 124454
New York, NY
Past
October 1, 2008 - June 20, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
New York, NY
Past
April 7, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AI
ALLEN INVESTMENT MANAGEMENT, LLC
ALLEN & COMPANY INVESTMENT ADVISORS | ALLEN INVESTMENT MANAGEMENT, LLC | ALLEN GLOBAL PARTNERS
CRD#: 124454 / SEC#: 801-61985
RIA
Registered Investment Advisory firm - (4/11/2003 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New York(9/29/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
AI
ALLEN INVESTMENT MANAGEMENT, LLC
ALLEN & COMPANY INVESTMENT ADVISORS | ALLEN INVESTMENT MANAGEMENT, LLC | ALLEN GLOBAL PARTNERS
CRD#: 124454 / SEC#: 801-61985
RIA
Registered Investment Advisory firm - (4/11/2003 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
711 Fifth Avenue 10th Floor, New York, NY, 10022
Mailing Address
Phone number
(212) 832-8000
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 822 |
| AUM (Assets Under Management) | $ 15,833,950,821 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/30/2024 | ||
| 01/26/2024 | ||
| 01/03/2023 |
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.
