TM
Timothy M. Mchale
LPL ENTERPRISE
ENGLEWOOD, CO 80112
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CRD#: 6150436
TM
Professional summary
Timothy M Mchale, who also goes by Tim Mchale, Timothy Michael Mchale, Timothy Mchale, Tim M Mchale, Timothy M Mchale, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Englewood, Colorado.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Timothy has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Mchale | Timothy Michael Mchale | Timothy Mchale | Tim M Mchale | Timothy M Mchale
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.
[OIL & GAS ROYALTIES; I OWN THE MINERAL RIGHTD FOR 1 GAS LEASE FOR .33 ACRE IN ARLINGTON, TX.; 2501 HILLDALE BLVD. ARLINGTON, TX 76016; Start Date 08/2009; Role/Title: Owner; Investment Related; 0 hours per month; 0 hours per month during securities trading hours] MIHLBACHLER MCHALE & ASSOCIATES POSITION: Financial Professional NATURE: DBA for Prudential Business INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 06/19/2023 ADDRESS: 7000 E Belleview Ave, Suite 201, Greenwood Village CO 80111, United States DESCRIPTION: Sales and Service for Insurance and Investments
CRS (Client Relationship Summary) - RIA
Click below to view Timothy M Mchale's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy M Mchale'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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 383 Inverness Pkwy Ste 410, Englewood, CO 80112RIA
BD
CRD#: 8733
ENGLEWOOD, CO
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 383 Inverness Pkwy Ste 410, Englewood, CO 80112RIA
BD
CRD#: 8733
ENGLEWOOD, CO
Past
July 11, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Greenwood Village, CO
Past
July 11, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Greenwood Village, CO
Past
August 5, 2016 - July 9, 2018
NYLIFE SECURITIES LLC
BD
CRD#: 5167
FORT WORTH, TX
Past
July 10, 2014 - July 22, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BENBROOK, TX
Past
June 18, 2014 - July 22, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BENBROOK, TX
Past
March 25, 2013 - May 2, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
FT. WORTH, TX
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
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
RR
Arizona(11/14/2024)
RR
Colorado(11/14/2024)
IAR
Colorado(11/14/2024)
RR
Florida(11/15/2024)
RR
Georgia(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(5/28/2025)
RR
Washington(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
