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TD

Timothy W. Dolan

Some features on this profile are disabled
CRD#: 862153
TD

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 William Dolan was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 1986. Timothy had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

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

January 13, 2016 - December 31, 2024

COMPASS SECURITIES CORPORATION

BD
CRD#: 16168
Needham, MA
Past

October 1, 2015 - January 4, 2016

ARS INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 281079
NEEDHAM, MA
Past

February 10, 2012 - January 4, 2016

INNOVATION PARTNERS LLC

BD
CRD#: 146344
NEEDHAM, MA
Past

March 4, 2011 - November 15, 2011

CAPITOL SECURITIES & ASSOCIATES, INC.

BD
CRD#: 7278
GLEN ALLEN, VA
Past

August 19, 2010 - June 28, 2021

DOLAN CAPITAL GROUP, LLC

RIA
CRD#: 154524
NEEDHAM, MA
Past

June 3, 2010 - February 11, 2011

SECURITIES AMERICA, INC.

BD
CRD#: 10205
NEEDHAM, MA
Past

October 11, 1995 - July 15, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
MEDFIELD, MA
Past

June 15, 1990 - September 25, 1995

GT GLOBAL, INC.

BD
CRD#: 19587
SAN FRANCISCO, CA
Past

March 10, 1987 - May 1, 1990

MFS FINANCIAL SERVICES, INC.

BD
CRD#: 18309
BOSTON, MA
Past

December 17, 1986 - January 9, 1987

MASSACHUSETTS FINANCIAL SERVICES COMPANY

BD
CRD#: 7383

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

State Security Law Exam
IAR
Series 65
Date: 7/13/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/15/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/15/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 5/31/2005
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/3/1998
General Securities Principal Examination

Current Firm

CS
COMPASS SECURITIES CORPORATION
COMPASS SECURITIES CORPORATION

CRD#: 16168 / SEC#: , 8-33438

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734
Mailing Address
50 Braintree Hill Park Suite 105, Braintree, MA 02184-8734
Phone number
(781) 535-6083
Established
Massachusetts since 11/05/1984
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COMPASS HOLDING GROUP INCSHAREHOLDER
CHAISSON, SCOTT STEPHENPRESIDENT/CEO2353375
SHANAHAN, TIMOTHY FRANCISDIRECTOR-CHIEF FINANCIAL OFFICER709231
WESCHLER, SUSAN MAUREENCHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER1796103

Disclosures

Regulatory Event1

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.

Company Information

COMPASS SECURITIES CORPORATION

CRD#: 16168

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