Timothy J. Kay

INVESTMENT MANAGERS GROUP

TEMECULA, CA 92592

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CRD#: 5443829

Professional summary

Timothy James Kay, who also goes by Timothy Kay, is a registered financial advisor currently at INVESTMENT MANAGERS GROUP, LLC located in Temecula, California and PURSHE KAPLAN STERLING INVESTMENTS located in Temecula, California.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Timothy has worked at 3 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Timothy Kay

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) - RIA

Click below to view Timothy James Kay's CRS (Customer Relationship Summary).

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

May 25, 2012 - Present

INVESTMENT MANAGERS GROUP, LLC

Office #1: 31045 Temecula Parkway, Suite 207, Temecula, CA 92592

RIA

CRD#: 164203

TEMECULA, CA

Current

June 15, 2012 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 31045 Temecula Parkway Suite 207, Temecula, CA 92592

CRD#: 35747

Temecula, CA

Past

April 24, 2008 - May 31, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LAKE ELSINORE, CA

Past

January 1, 2008 - May 31, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LAKE ELSINORE, CA

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".

INVESTMENT MANAGERS GROUP, LLC

CRD#: 164203 / SEC#: 801-134578

RIA

Registered Investment Advisory firm - (11/18/2025 Approved)

Arizona

Registered Investment Advisory firm - (11/20/2025 Terminated)

California

Registered Investment Advisory firm - (12/20/2025 Terminated)

Texas

Registered Investment Advisory firm - (11/20/2025 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(11/22/2019)

IAR

Arizona
(3/11/2021)

IAR

California
(5/25/2012)

California
(6/15/2012)

IAR

Texas
(5/30/2012)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/23/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/26/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INVESTMENT MANAGERS GROUP, LLC

CRD#: 164203 / SEC#: 801-134578

RIA

Registered Investment Advisory firm - (11/18/2025 Approved)

Arizona

Registered Investment Advisory firm - (11/20/2025 Terminated)

California

Registered Investment Advisory firm - (12/20/2025 Terminated)

Texas

Registered Investment Advisory firm - (11/20/2025 Terminated)

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Contact information

Main Address

31045 Temecula Parkway Suite 207, Temecula, CA 92592

Mailing Address

Phone number

(951) 225-3260

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (9/18/2025)

Regulatory assets under management

Total Number of Accounts	439
AUM (Assets Under Management)	$ 110,051,807

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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Firm Stability Insights

Timothy J. Kay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy James Kay's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

INVESTMENT MANAGERS GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/23/2008

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/26/2007

FINRA

Current Firm

INVESTMENT MANAGERS GROUP, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVESTMENT MANAGERS GROUP, LLC

TRUST BUT VERIFY

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