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Timothy J. Barrett

Some features on this profile are disabled
CRD#: 5137712
TB

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 Joseph Barrett, who also goes by Timothy J Barrett, Timothy J. Barrett, was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 2006. Timothy had worked at 8 firms and has passed the Series 65, Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Timothy J Barrett | Timothy J. Barrett

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 14, 2024 - May 17, 2024

LINDEN THOMAS AND COMPANY SECURITIES, LLC

BD
CRD#: 290244
CHARLOTTE, NC
Past

February 13, 2019 - November 10, 2021

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CHARLOTTE, NC
Past

February 8, 2019 - November 10, 2021

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
CHARLOTTE, NC
Past

August 8, 2016 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
CHARLOTTE, NC
Past

August 8, 2016 - February 15, 2017

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
Charlotte, NC
Past

April 15, 2016 - February 15, 2017

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
CHARLOTTE, NC
Past

June 12, 2014 - April 4, 2016

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CHARLOTTE, NC
Past

January 8, 2009 - June 14, 2012

INTERCAROLINA FINANCIAL SERVICES, INC.

BD
CRD#: 19475
GREENSBORO, NC
Past

November 1, 2007 - February 19, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHARLOTTE, NC
Past

November 1, 2007 - February 19, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTE, NC
Past

October 9, 2006 - November 1, 2007

SCOTT & STRINGFELLOW, LLC

RIA
CRD#: 6255
CHARLOTTE, NC
Past

September 15, 2006 - November 1, 2007

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
CHARLOTTE, NC
Past

July 10, 2006 - September 5, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
CHARLOTTE, NC

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/8/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/6/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/11/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/15/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/4/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/7/2006
General Securities Representative Examination

Current Firm

LT
LINDEN THOMAS AND COMPANY SECURITIES, LLC
LINDEN THOMAS AND COMPANY SECURITIES, LLC

CRD#: 290244 / SEC#: , 8-70026

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
516 N. Tryon Street, Charlotte, NC 28202
Mailing Address
516 N. Tryon Street, Charlotte, NC 28202
Phone number
(704) 554-8150
Established
North Carolina since 08/29/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LINDEN THOMAS AND COMPANY, LLCMEMBER
HUNT, DAVID LEEFINOP2772872
SMITH, DAVID LEONCCO/ROP/GENERAL SEC & MUNICIPAL PRINCIPAL2246779
THOMAS, STEPHEN LINDENMANAGING PRINCIPAL1789031

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

LINDEN THOMAS AND COMPANY SECURITIES, LLC

CRD#: 290244

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