Timothy W. Doozan

KEEL POINT CAPITAL

Lyman, SC

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CRD#: 5629821

Professional summary

Timothy William Doozan, CFP® is a registered financial advisor currently at KEEL POINT CAPITAL, LLC located in Lyman, South Carolina.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Timothy has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - BD

Click below to view Timothy William Doozan'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

September 7, 2016 - Present

KEEL POINT CAPITAL, LLC

CRD#: 6769

Lyman, SC

Past

September 7, 2016 - December 31, 2025

KEEL POINT, LLC

RIA

CRD#: 127902

PUrcellville, VA

Past

August 17, 2011 - September 6, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

PURCELLVILLE, VA

Past

February 18, 2009 - September 6, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

PURCELLVILLE, VA

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

Florida
(8/29/2017)

South Carolina
(8/18/2022)

Virginia
(9/7/2016)

IAR

Virginia
(9/7/2016)

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

Series 63

Date: 2/18/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/1/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/17/2009

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

KEEL POINT CAPITAL, LLC

CRD#: 6769 / SEC#: , 8-22990

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

100 Church Street Suite 500, Huntsville, AL 35801

Mailing Address

100 Church Street Suite 500, Huntsville, AL 35801

Phone number

(256) 704-5111

Established

Delaware since 10/24/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KEEL POINT PARTNERS, LLC	SHAREHOLDER
BATES, MICHAEL LINDSAY J.D.	COO/ OPERATIONS PROFESSIONAL	5822091
BEATON, DANIEL STEWART	FINOP/CFO	4240769
MAYES, ROBERT CARL	CEO	719831
PERRY, JAMES MICHAEL	CCO	1189342
PERRY, JAMES MICHAEL	PRINCIPAL	1189342
PERRY, JAMES MICHAEL	GENERAL SECURITIES PRINCIPAL	1189342

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 W. Doozan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy William Doozan's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEEL POINT CAPITAL, LLC

KEEL POINT, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/18/2009

SIE

Date: 10/1/2018

Series 7

Date: 9/1/2016

Series 6

Date: 2/17/2009

FINRA

Current Firm

KEEL POINT CAPITAL, LLC

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

KEEL POINT CAPITAL, LLC

TRUST BUT VERIFY

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