Timothy S. Wingenbach

ARLINGTON SECURITIES

St Louis, MO

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CRD#: 5007031

Professional summary

Timothy Scott Wingenbach, who also goes by Tim Wingenbach, Timothy Scott Wingenbach, is a registered financial advisor currently at ARLINGTON SECURITIES, INC. located in St Louis, Missouri.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Timothy has worked at 2 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tim Wingenbach | Timothy Scott Wingenbach

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) - RIA

Click below to view Timothy Scott Wingenbach's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Timothy Scott Wingenbach'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

August 29, 2019 - Present

ARLINGTON SECURITIES, INC.

RIA

CRD#: 19596

St Louis, MO

Current

August 29, 2019 - Present

ARLINGTON SECURITIES, INC.

Office #1: 140 Marine Lane, St. Louis, MO 63146-2236

RIA

CRD#: 19596

ST. LOUIS, MO

Past

August 4, 2014 - August 29, 2019

EDWARD JONES

RIA

CRD#: 250

SUNSET HILLS, MO

Past

May 14, 2014 - August 29, 2019

EDWARD JONES

CRD#: 250

SUNSET HILLS, MO

Past

September 27, 2005 - March 9, 2006

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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.

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

Illinois
(8/29/2019)

Missouri
(8/29/2019)

IAR

Missouri
(8/29/2019)

Wisconsin
(2/9/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/6/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/30/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 4/13/2024

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/13/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/3/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ARLINGTON SECURITIES, INC.

ARLINGTON SECURITIES | FORT DEARBORN INVESTMENT CORP. | ARLINGTON SECURITIES, INCORPORATED | ARLINGTON SECURITIES, INC.

CRD#: 19596 / SEC#: 801-66316, 8-38098

RIA

Registered Investment Advisory firm - SEC (5/14/2007 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/4/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

140 Marine Lane, St Louis, MO 63146-2236

Mailing Address

140 Marine Lane, St. Louis, MO 63146-2236

Phone number

(314) 878-1954

Established

Missouri since 04/28/1997

Firm type

Corporation

Fiscal year end

October

Firm Size

Small

# of Employees

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HILLARD, ROBERT EARL	CEO, CFO	1005606
CULLEN, SUSAN MARIE	VICE PRESIDENT, CCO-BD	2015668
WINGENBACH, TIMOTHY SCOTT	PRESIDENT, COO, CCO-IA	5007031

Regulatory assets under management

Total Number of Accounts	257
AUM (Assets Under Management)	$ 77,254,990

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Timothy S. Wingenbach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Scott Wingenbach's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Timothy Scott Wingenbach's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARLINGTON SECURITIES, INC.

EDWARD JONES

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 6/6/2014

Series 63

Date: 9/30/2005

Series 52TO

Date: 4/13/2024

SIE

Date: 10/1/2018

Series 7

Date: 5/13/2014

Series 24

Date: 5/3/2023

FINRA

Current Firm

ARLINGTON SECURITIES, INC.

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ARLINGTON SECURITIES, INC.

TRUST BUT VERIFY

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