Timothy M. Courchaine
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 Michael Courchaine, who also goes by Timothy Courchaine, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2006. Timothy had worked at 12 firms and has passed the Series 66, Series 63, SIE 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
September 10, 2015 - May 20, 2016
LEGEND EQUITIES CORPORATION
July 20, 2015 - May 20, 2016
VSR FINANCIAL SERVICES, INC.
July 20, 2015 - May 20, 2016
SUMMIT BROKERAGE SERVICES, INC.
July 20, 2015 - May 20, 2016
INVESTORS CAPITAL CORP.
July 20, 2015 - May 20, 2016
GIRARD SECURITIES, INC.
July 20, 2015 - May 20, 2016
CETERA INVESTMENT SERVICES LLC
July 20, 2015 - May 20, 2016
CETERA FINANCIAL SPECIALISTS LLC
July 20, 2015 - May 20, 2016
CETERA ADVISORS LLC
July 20, 2015 - May 20, 2016
CETERA WEALTH SERVICES, LLC
January 5, 2015 - May 20, 2016
FIRST ALLIED ADVISORY SERVICES, INC.
October 16, 2014 - May 20, 2016
FIRST ALLIED SECURITIES, INC.
September 6, 2006 - November 27, 2006
ECHOTRADE LLC
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
LEGEND EQUITIES CORPORATION
CRD#: 30999 / SEC#: , 8-45286
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEGEND GROUP HOLDINGS, LLC | DIRECT OWNER | |
| ANTONIADES, ADAM NICHOLAS | DIRECTOR | 2261744 |
| BONNEAU, CATHERINE MCCORMACK | DIRECTOR | 2899706 |
| GINGRICH, MIRALDA | VICE PRESIDENT | 1985431 |
| GRIFFEY, ENA MARIA | FINOP | 4460199 |
| HALEY, BRIAN JOSEPH | CHIEF COMPLIANCE OFFICER | 4361815 |
| MEHROTRA, SHASHI | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2640875 |
| RUDNICK, REGINA MARY | VICE PRESIDENT | 2373530 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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