Timothy A. Brady
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 Allen Brady was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2009. Timothy had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2015 - January 26, 2016
RATHBONE WARWICK INVESTMENT MANAGEMENT
July 10, 2009 - June 12, 2015
D.A. DAVIDSON & CO.
July 10, 2009 - June 12, 2015
D.A. DAVIDSON & CO.
May 27, 2009 - June 29, 2009
EQUITABLE ADVISORS, LLC
May 6, 2009 - June 29, 2009
EQUITABLE ADVISORS, 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
Exams
Current Firm
RATHBONE WARWICK INVESTMENT MANAGEMENT
CRD#: 171115 / SEC#: 801-79937
Contact information
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.
