Timothy W. Boardman
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 William Boardman, who also goes by Tim Boardman, Timothy Boardman, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2009. Timothy had worked at 5 firms and has passed the Series 63, Series 82TO, SIE, Series 3, Series 31, Series 55 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
March 2, 2021 - June 4, 2021
PHX FINANCIAL, INC.
September 6, 2019 - February 25, 2021
DEUTSCHE BANK SECURITIES INC.
December 11, 2013 - March 26, 2015
STONEHAVEN, LLC
March 31, 2011 - May 7, 2012
GUGGENHEIM SECURITIES, LLC
February 5, 2009 - February 18, 2011
WJB CAPITAL GROUP, INC.
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
Series 82TO
Date: 9/6/2019
Limited Representative-Private Securities OfferingsSeries 55
Date: 3/17/2009
Limited Representative-Equity Trader ExamCurrent Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
