Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy Gauen has been a financial professional since 1995 and is currently a registered representative with LPL Financial LLC in Chicago. Timothy has a wealth of experience in the financial industry, having worked with various firms including Charles Schwab & Co., Inc., Citigroup Global Markets Inc., and Citicorp Investment Services. He holds multiple licenses and certifications, including Series 66, Series 63, Series 10, Series 9, Series 24, Series 7, and SIE. Timothy also has a strong background in advising high-net-worth individuals, corporations, and charitable organizations. Timothy focuses on helping clients achieve their financial goals through various financial planning and advisory services.
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.
Consulting and other non-discretionary advisory services
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.
1
2
IL
02/04/2025 - Present
LPL Financial LLC (CHICAGO IL)
IL
10/23/2013 - 04/14/2016
CHARLES SCHWAB & CO., INC. (SCHAUMBURG IL)
IL
05/29/2007 - 09/17/2012
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
IL
03/30/1999 - 05/29/2007
CITICORP INVESTMENT SERVICES (CHICAGO IL)
NY
06/14/1995 - 06/02/1998
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BOTH
Issued 02/12/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/26/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/04/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Timothy Gauen is the right advisor for you? Invested Better is here to help.
