Timothy J. Kay
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Timothy James Kay's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 25, 2012 - Present
INVESTMENT MANAGERS GROUP, LLC
Office #1: 31045 Temecula Parkway, Suite 207, Temecula, CA 92592June 15, 2012 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 31045 Temecula Parkway Suite 207, Temecula, CA 92592April 24, 2008 - May 31, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - May 31, 2012
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/22/2019)
(3/11/2021)
(5/25/2012)
(6/15/2012)
(5/30/2012)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
INVESTMENT MANAGERS GROUP, LLC
CRD#: 164203 / SEC#: 801-134578
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 439 |
| AUM (Assets Under Management) | $ 110,051,807 |
Red Flags
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