Timothy R. Banks

DIVERSIFIED CAPITAL WEALTH MANAGEMENT

Mequon, WI 53092

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CRD#: 707832

Professional summary

Timothy Randall Banks is a registered financial advisor currently at DIVERSIFIED CAPITAL WEALTH MANAGEMENT, LLC located in Mequon, Wisconsin.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Timothy has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 5, Series 7, Series 1, Series 24, Series 4 and Series 53 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.

1. 10/18/2018 - No Business Name - Investment Related - Non-Variable Insurance - LICENSED INSURANCE AGENT.FIXED INSURANCE PRODUCT. 2. 10/18/2018 - FRANKLIN CITY INVESTMENTS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - PRESIDENT - MANAGING BUSINESS AS A FINANCIAL ADVISOR REPRESENTATIVE. 3. 05/15/2019 - Crump - Investment related - At reported business location(s) - Non-Variable Insurance - start date:05/15/2019 - 1 hr/mo - 1 hr during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Randall Banks'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

May 28, 2024 - Present

DIVERSIFIED CAPITAL WEALTH MANAGEMENT, LLC

Office #1: 11512 N. Port Washington Rd Ste 101c, Mequon, WI 53092

RIA

CRD#: 168428

Mequon, WI

Past

February 14, 2018 - October 28, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

FRANKLIN, WI

Past

February 14, 2018 - November 10, 2022

LPL FINANCIAL LLC

CRD#: 6413

FRANKLIN, WI

Past

April 21, 2016 - February 14, 2018

SII INVESTMENTS, INC.

RIA

CRD#: 2225

FRANKLIN, WI

Past

August 9, 2000 - July 20, 2015

SII INVESTMENTS, INC.

RIA

CRD#: 2225

FRANKLIN, WI

Past

August 9, 2000 - February 14, 2018

SII INVESTMENTS, INC.

CRD#: 2225

FRANKLIN, WI

Past

July 21, 1994 - August 14, 2000

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

May 24, 1993 - August 2, 1994

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081

CHICAGO, IL

Past

September 4, 1991 - May 19, 1993

LISS FINANCIAL SERVICES

CRD#: 21950

MILWAUKEE, WI

Past

September 7, 1990 - September 21, 1991

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

August 27, 1982 - August 30, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 30, 1980 - August 20, 1982

EQUABLE SECURITIES CORPORATION

CRD#: 7405

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.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(5/28/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/12/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/14/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/7/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 1/17/1981

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 3/31/1980

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/19/1996

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 2/11/1994

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 11/26/1993

Municipal Securities Principal Examination

Current Firm

DIVERSIFIED CAPITAL WEALTH MANAGEMENT, LLC

APEX WEALTH ADVISORS, LLC | DIVERSIFIED CAPITAL WEALTH MANAGEMENT, LLC

CRD#: 168428 / SEC#:

Wisconsin

Registered Investment Advisory firm - (9/5/2013 Approved)

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Contact information

Main Address

11512 N. Port Washington Rd Ste 101c, Mequon, WI 53092

Mailing Address

Phone number

(414) 688-7547

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	120
AUM (Assets Under Management)	$ 22,160,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Timothy R. Banks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Randall Banks's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

FFP SECURITIES, INC.

CABRERA CAPITAL MARKETS, LLC

LISS FINANCIAL SERVICES

SECURITIES AMERICA, INC.

PRUDENTIAL EQUITY GROUP, LLC

EQUABLE SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 1/12/2001

Series 63

Date: 4/14/1980

SIE

Date: 10/1/2018

Series 5

Date: 10/7/1982

Series 7

Date: 1/17/1981

Series 1

Date: 3/31/1980

Series 24

Date: 1/19/1996

Series 4

Date: 2/11/1994

Series 53

Date: 11/26/1993

Current Firm

DIVERSIFIED CAPITAL WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DIVERSIFIED CAPITAL WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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