Timothy J. Mount

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CRD#: 5355802

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 John Mount, who also goes by Tj Mount, was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 2010. Timothy had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tj Mount

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

October 28, 2010 - August 2, 2017

SPC FINANCIAL INC

RIA

CRD#: 104618

ROCKVILLE, MD

Past

October 18, 2010 - October 19, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

ROCKVILLE, MD

Past

June 24, 2010 - August 4, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ROCKVILLE, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SPC FINANCIAL INC

CRD#: 104618 / SEC#: 801-14191

RIA

Registered Investment Advisory firm - (11/30/1978 Approved)

Maryland

Registered Investment Advisory firm - (12/12/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/13/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/4/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/23/2010

General Securities Representative Examination

Current Firm

SPC FINANCIAL INC

CRD#: 104618 / SEC#: 801-14191

RIA

Registered Investment Advisory firm - (11/30/1978 Approved)

Maryland

Registered Investment Advisory firm - (12/12/2017 Terminated)

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Contact information

Main Address

3202 Tower Oaks Blvd Suite 400, Rockville, MD 20852-4219

Mailing Address

Phone number

(301) 770-6800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPC PART 2A, FORM ADV FIRM BROHURE - MARCH 28, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,180
AUM (Assets Under Management)	$ 1,392,088,059

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
03/25/2025	Cover Page	Report
10/01/2024	Cover Page	Report
07/30/2024	Cover Page	Report
04/10/2023	Cover Page	Report

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.

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Timothy J. Mount

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SPC FINANCIAL INC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SPC FINANCIAL INC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/13/2010

SIE

Date: 8/4/2017

Series 7

Date: 6/23/2010

Current Firm

SPC FINANCIAL INC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SPC FINANCIAL INC

TRUST BUT VERIFY

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