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TG

Timothy J. Gazzini

TRUMID FINANCIAL LLC
New York, NY 10018
Some features on this profile are disabled
CRD#: 5236835
TG

Professional summary

Timothy Joseph Gazzini, who also goes by Timothy J Gazzini, is a registered financial professional currently at TRUMID FINANCIAL LLC located in New York, New York.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2013. Timothy has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Timothy J Gazzini

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) - BD

Click below to view Timothy Joseph Gazzini's 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

January 29, 2020 - Present

TRUMID FINANCIAL LLC

Office #1: 1411 Broadway Suite 2410, New York, NY 10018
BD
CRD#: 172129
New York, NY
Past

January 29, 2020 - June 22, 2022

ELECTRONIFIE SECURITIES LLC

BD
CRD#: 170945
NEW YORK, NY
Past

February 22, 2013 - July 10, 2018

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(10/28/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/28/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/10/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TF
TRUMID FINANCIAL LLC
TRUMID FINANCIAL LLC

CRD#: 172129 / SEC#: , 8-69500

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

Main Address
1411 Broadway Suite 2410, New York, NY 10018
Mailing Address
1411 Broadway Suite 2410, New York, NY 10018
Phone number
(212) 618-0388
Established
Delaware since 06/04/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TRUMID HOLDINGS LLCPARENT
BARRETT, LANCE MATTHEWFINOP6999105
KNOPP, CHERYL JODICHIEF COMPLIANCE OFFICER5273448
MATEO, RONALD MICHAELCEO2802819
SIRACUSE, DANIEL JCHIEF FINANCIAL OFFICER / CHIEF OPERATING OFFICER5752088
SOBEL, MICHAEL EVANPRESIDENT4430822

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

TRUMID FINANCIAL LLC

CRD#: 172129New York, NY 10018

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