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Timothy M. Mcginn

Some features on this profile are disabled
CRD#: 813935
TM

Professional summary

Timothy Michael Mcginn was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Timothy is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Timothy had worked at 3 firms, which includes JHS CAPITAL ADVISORS LLC, ONLINE CAPITAL SECURITIES INC., MCGINN SMITH & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 25, 2001 - August 7, 2003

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
TAMPA, FL
Past

February 9, 2001 - May 29, 2003

ONLINE CAPITAL SECURITIES, INC.

BD
CRD#: 104334
ALBANY, NY
Past

January 9, 1981 - August 13, 2010

MCGINN, SMITH & CO., INC.

BD
CRD#: 8453
ALBANY, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 10/18/1975
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/12/1982
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/25/1980
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/25/1980
Registered Options Principal Examination

Current Firm

JC
JHS CAPITAL ADVISORS, LLC
JHS CAPITAL ADVISORS, INC. | POINTE CAPITAL, LLC | POINTE CAPITAL, L.L.C. | POINTE CAPITAL, INC. | POINTE CAPITAL SECURITIES, L.L.C. | JHS CAPITAL ADVISORS, LLC

CRD#: 112097 / SEC#: 801-71238, 8-53232

BD
Terminated by SEC on 10/23/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 11/30/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

JHS CAPITAL PART 2A (3/23/2015)

Direct owners and executive officers

NamePositionCRD#
JHS CAPITAL HOLDINGS, LLCOWNER
BENDERT, SCOTT JAMESCHIEF EXECUTIVE OFFICER5602806
CARTER, ANA ROUMENOVACFO/FINOP4424794
DUIS, DEBORA JEANNEDIRECTOR OF BRANCH SUPERVISION AND TRAINING2390411
TURNER, WILLIAM RINTERIM CHIEF COMPLIANCE OFFICER859497

Disclosures

Regulatory Event6
Arbitration2

Red Flags

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Company Information

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

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