Timothy J. Ellington
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 Jerome Ellington was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1978. Timothy had worked at 4 firms and has passed the Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2015 - February 3, 2016
CNBS
June 29, 1987 - December 31, 2013
J.P. MORGAN SECURITIES LLC
January 31, 1980 - June 24, 1987
UBS FINANCIAL SERVICES INC.
March 28, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
State Registrations and Notice Filings
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Exams
Series 5
Date: 10/26/1981
Interest Rate Options ExaminationCurrent Firm
CNBS
CRD#: 24153 / SEC#: 801-37558, 8-40985
Contact information
Disclosures
| Regulatory Event | 2 |
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.
