Timothy F. Syrell
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 Frederick Syrell, who also goes by Tim Syrell, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1981. Timothy had worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2014 - December 31, 2015
SUMMIT BROKERAGE SERVICES, INC.
January 24, 2012 - October 7, 2014
ADIRONDACK TRADING GROUP LLC
September 14, 2011 - January 25, 2012
IBN FINANCIAL SERVICES, INC.
July 25, 2007 - August 24, 2011
NEXT FINANCIAL GROUP, INC.
February 21, 2007 - August 10, 2007
OSAIC WEALTH, INC.
June 6, 2003 - March 9, 2007
UNITED SECURITIES ALLIANCE, INC.
July 3, 2001 - June 13, 2003
PAN-AMERICAN FINANCIAL ADVISERS
April 29, 1998 - January 31, 2001
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
December 23, 1997 - March 26, 1998
OSAIC WEALTH, INC.
January 30, 1997 - December 2, 1997
FSC SECURITIES CORPORATION
July 24, 1995 - December 31, 1996
CADARET, GRANT & CO., INC.
July 20, 1992 - July 31, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 20, 1992 - July 31, 1995
EQUITABLE ADVISORS, LLC
March 5, 1990 - October 18, 1990
ROBERT THOMAS SECURITIES, INC
September 2, 1988 - July 1, 1989
EMPIRE NATIONAL SECURITIES, INCORPORATED
April 24, 1987 - September 29, 1988
CAPITAL CLIENT GROUP, INC.
December 24, 1986 - January 15, 1987
MFS FINANCIAL SERVICES, INC.
October 2, 1986 - January 9, 1987
MASSACHUSETTS FINANCIAL SERVICES COMPANY
May 30, 1985 - September 23, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 19, 1981 - June 12, 1985
E. F. HUTTON & COMPANY INC
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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
