Tim E. Fisher
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.
Tim Edward Fisher, who also goes by Tim Fisher, was a registered financial professional .
Tim is a previously registered financial professional and started their career in finance in 2007. Tim had worked at 4 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2014 - September 6, 2016
RESEARCH CAPITAL USA INC.
October 11, 2013 - October 31, 2014
JENNINGS CAPITAL (USA) INC.
December 12, 2011 - October 3, 2013
EDGECREST CAPITAL (USA) INC.
July 12, 2007 - December 5, 2011
JENNINGS CAPITAL (USA) INC.
June 11, 2007 - June 18, 2007
NBF SECURITIES (USA) CORP.
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
Series 37
Date: 6/8/2007
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
RESEARCH CAPITAL USA INC.
CRD#: 39670 / SEC#: , 8-48795
Contact information
FINRA licenses (22 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
