Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tim? Claim Your ProfileTim D Sullivan is a financial advisor who has been working in the industry since February 11, 1989. Tim is currently registered with Cambridge Investment Research Advisors, Inc. and has a branch office located in Kalona, IA. Prior to that, Tim was associated with Northwestern Mutual Investment Services, LLC. Tim is a Certified Financial Planner and has passed the Series 6, Series 7, Series 63, and SIE exams. Tim's focus is on providing financial planning, pension consulting, educational seminars, and portfolio management services to individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
IA
03/27/2018 - Present
Cambridge Investment Research Advisors, Inc. (Kalona IA)
IA
03/08/1997 - 03/27/2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CORALVILLE IA)
WI
03/08/1997 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
NJ
11/30/1988 - 12/23/1996
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
11/30/1988 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BC
Issued 11/22/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/2018
Series 7 - General Securities Representative Examination
BC
Issued 11/09/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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