Timothy J. Pratt

TOUCHSTONE ADVISORS

CINCINNATI, OH 45202-4203

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CRD#: 6080563

Professional summary

Timothy James Pratt, who also goes by Timothy Pratt, is a registered financial advisor currently at TOUCHSTONE ADVISORS INC located in Cincinnati, Ohio and TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Timothy has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Timothy Pratt

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) - RIA

Click below to view Timothy James Pratt's 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®

None

Experience

Current

January 17, 2025 - Present

TOUCHSTONE ADVISORS INC

Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202-4203

RIA

CRD#: 107028

CINCINNATI, OH

Current

January 15, 2025 - Present

TOUCHSTONE SECURITIES, INC.

Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202

CRD#: 1526

CINCINNATI, OH

Past

May 28, 2024 - February 4, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Atlanta, GA

Past

May 23, 2024 - February 4, 2025

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Atlanta, GA

Past

September 8, 2021 - March 5, 2024

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Atlanta, GA

Past

July 30, 2020 - July 9, 2021

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

ATLANTA, GA

Past

March 4, 2016 - July 16, 2020

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Past

January 27, 2015 - March 7, 2016

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

ST. LOUIS, MO

Past

January 27, 2015 - March 7, 2016

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

September 4, 2014 - March 7, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ST. LOUIS, MO

Past

August 14, 2014 - March 7, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TOUCHSTONE ADVISORS INC

CRD#: 107028 / SEC#: 801-45963

RIA

Registered Investment Advisory firm - (2/28/1994 Approved)

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

Alabama
(1/15/2025)

Georgia
(1/15/2025)

Louisiana
(1/21/2025)

Ohio
(1/17/2025)

IAR

Ohio
(1/17/2025)

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

IAR

Series 66

Date: 4/25/2024

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/14/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TOUCHSTONE ADVISORS INC

CRD#: 107028 / SEC#: 801-45963

RIA

Registered Investment Advisory firm - (2/28/1994 Approved)

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Contact information

Main Address

303 Broadway Suite 1100, Cincinnati, OH 45202-4203

Mailing Address

Phone number

(513) 362-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 29,132,797,072

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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Advisor Monitoring

Firm Stability Insights

Timothy J. Pratt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy James Pratt's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOUCHSTONE SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FORESIDE FUND SERVICES, LLC

INVESCO DISTRIBUTORS, INC.

JANUS HENDERSON DISTRIBUTORS US LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

TOUCHSTONE ADVISORS INC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/25/2024

SIE

Date: 10/1/2018

Series 7

Date: 8/14/2014

FINRA

Current Firm

TOUCHSTONE ADVISORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

TOUCHSTONE ADVISORS INC

TRUST BUT VERIFY

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