Timothy R. Rowley

MISCHLER FINANCIAL GROUP

Irvine, CA 92612

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CRD#: 730288

Professional summary

Timothy Russell Rowley, who also goes by Tim Rowley, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Irvine, California.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 1981. Timothy has worked at 13 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tim Rowley

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) - BD

Click below to view Timothy Russell Rowley'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 11, 2020 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: 19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

CRD#: 7059

NEW YORK, NY

Past

December 8, 1983 - April 11, 1986

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

May 10, 1983 - February 29, 1984

WACHOVIA SECURITIES, INC.

CRD#: 431

Past

May 18, 1981 - May 10, 1983

BECKER PARIBAS INCORPORATED

CRD#: 7635

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(5/12/2020)

Connecticut
(5/11/2020)

Georgia
(2/24/2022)

Illinois
(2/24/2022)

Maryland
(3/7/2023)

Massachusetts
(5/14/2020)

Minnesota
(1/22/2021)

Missouri
(2/24/2022)

New Jersey
(2/23/2022)

New York
(5/13/2020)

North Carolina
(5/11/2020)

Ohio
(7/10/2020)

Pennsylvania
(5/14/2020)

South Carolina
(5/14/2020)

Texas
(2/23/2022)

Washington
(2/23/2022)

Wisconsin
(2/24/2022)

Exams

State Security Law Exam

Series 63

Date: 8/6/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/1981

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MISCHLER FINANCIAL GROUP, INC.

DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

Mailing Address

19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

Phone number

(949) 720-0640

Established

California since 11/22/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CHAMBERLAIN, DEAN ARTHUR	CHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN	2262338
HOLMES, DOYLE LAVERN	PRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR	1556260
GTS FINANCIAL LLC	OWNER

Disclosures

Regulatory Event

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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Firm Stability Insights

Timothy R. Rowley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy Russell Rowley's CRS (Customer Relationship Summary).

Certified licenses

Experience

ACADEMY SECURITIES, INC.

DREXEL HAMILTON, LLC

JANNEY MONTGOMERY SCOTT LLC

PIPER SANDLER & CO.

MORGAN KEEGAN & COMPANY, LLC

LEGG MASON WOOD WALKER, INCORPORATED

WACHOVIA SECURITIES, INC.

PERSHING LLC

FIRST TRYON SECURITIES, LLC

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

WACHOVIA SECURITIES, INC.

BECKER PARIBAS INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/6/1981

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1981

FINRA

Current Firm

MISCHLER FINANCIAL GROUP, INC.

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MISCHLER FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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