TW
Timothy Waller
MDRN CAPITAL
GRAND RAPIDS, OH
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CRD#: 7224136
TW
Professional summary
Timothy Waller, who also goes by Timothy Alan Waller, is a registered financial advisor currently at MDRN CAPITAL located in Grand Rapids, Ohio.
Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Timothy has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Timothy Alan Waller
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.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Waller'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
April 14, 2026 - Present
MDRN CAPITAL
RIA
CRD#: 325950
GRAND RAPIDS, OH
Past
January 6, 2025 - March 6, 2026
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
MAUMEE, OH
Past
December 18, 2024 - March 6, 2026
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
MAUMEE, OH
Past
August 17, 2022 - December 13, 2024
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
Napoleon, OH
Past
August 17, 2022 - December 13, 2024
KOVACK SECURITIES INC.
BD
CRD#: 44848
NAPOLEON, OH
Past
July 26, 2022 - August 17, 2022
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
GRAND RAPIDS, OH
Past
June 24, 2020 - August 17, 2022
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
GRAND RAPIDS, OH
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".
MC
MDRN CAPITAL
MDRN CAPITAL | MDRN CAPITAL, LLC
CRD#: 325950 / SEC#: 801-130784
RIA
Registered Investment Advisory firm - (7/29/2024 Approved)Florida
Registered Investment Advisory firm - (8/21/2024 Terminated)Louisiana
Registered Investment Advisory firm - (9/17/2024 Terminated)Maryland
Registered Investment Advisory firm - (8/26/2024 Terminated)Michigan
Registered Investment Advisory firm - (8/30/2024 Terminated)Missouri
Registered Investment Advisory firm - (8/21/2024 Terminated)North Carolina
Registered Investment Advisory firm - (8/22/2024 Terminated)Ohio
Registered Investment Advisory firm - (8/21/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (8/21/2024 Terminated)Texas
Registered Investment Advisory firm - (8/21/2024 Terminated)Utah
Registered Investment Advisory firm - (8/21/2024 Terminated)Virginia
Registered Investment Advisory firm - (8/24/2024 Terminated)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
Ohio(4/14/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/23/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 6/24/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
MC
MDRN CAPITAL
MDRN CAPITAL | MDRN CAPITAL, LLC
CRD#: 325950 / SEC#: 801-130784
RIA
Registered Investment Advisory firm - (7/29/2024 Approved)Florida
Registered Investment Advisory firm - (8/21/2024 Terminated)Louisiana
Registered Investment Advisory firm - (9/17/2024 Terminated)Maryland
Registered Investment Advisory firm - (8/26/2024 Terminated)Michigan
Registered Investment Advisory firm - (8/30/2024 Terminated)Missouri
Registered Investment Advisory firm - (8/21/2024 Terminated)North Carolina
Registered Investment Advisory firm - (8/22/2024 Terminated)Ohio
Registered Investment Advisory firm - (8/21/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (8/21/2024 Terminated)Texas
Registered Investment Advisory firm - (8/21/2024 Terminated)Utah
Registered Investment Advisory firm - (8/21/2024 Terminated)Virginia
Registered Investment Advisory firm - (8/24/2024 Terminated)PREMIUM
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Contact information
Main Address
1997 Annapolis Exchange Parkway Suite 300, Annapolis, MD 21401
Mailing Address
Phone number
(410) 533-9966
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,977 |
| AUM (Assets Under Management) | $ 338,630,429 |
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.
