Timothy A. Utter
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 A Utter was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2009. Timothy had worked at 6 firms and has passed the Series 66, Series 63, 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
July 13, 2016 - April 18, 2017
BANKERS LIFE ADVISORY SERVICES, INC.
May 26, 2016 - April 18, 2017
BANKERS LIFE SECURITIES, INC.
August 14, 2013 - May 27, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 10, 2013 - May 26, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 13, 2012 - April 26, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
July 27, 2011 - April 26, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
July 5, 2011 - August 1, 2011
LPL FINANCIAL LLC
June 11, 2009 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
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
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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