Timothy Cannata
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 Cannata was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2006. Timothy had worked at 4 firms and has passed the Series 66, 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
April 24, 2012 - January 22, 2015
MARINER
July 21, 2011 - January 13, 2015
NEW ENGLAND SECURITIES
July 14, 2011 - January 13, 2015
NEW ENGLAND SECURITIES
January 13, 2010 - July 27, 2011
LPL FINANCIAL LLC
January 8, 2010 - July 27, 2011
LPL FINANCIAL LLC
December 12, 2006 - January 19, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
December 12, 2006 - January 19, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MARINER
CRD#: 151664 / SEC#: 801-71691
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
MARINER
CRD#: 151664 / SEC#: 801-71691
Contact information
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,559 |
| AUM (Assets Under Management) | $ 2,352,770,746 |
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.
