Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy Craig Phillips is a financial advisor with over 10 years of experience in the financial services industry. Timothy is currently registered with Citigroup Global Markets Inc. in New Jersey and New York. Previously, Timothy was registered with M&T Securities, Inc., Optima Securities LLC, R.J. O'Brien Securities, LLC and Uhlmann Price Securities, LLC. Timothy holds the Series 3, 7, 63, and 66 licenses.
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.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
1
2
NY
08/17/2021 - Present
Citigroup Global Markets Inc. (New York NY)
NY
08/04/2016 - 03/09/2020
M&T SECURITIES, INC. (NEW YORK NY)
NY
06/04/2014 - 06/10/2015
OPTIMA SECURITIES LLC (NEW YORK NY)
IL
04/06/2009 - 06/22/2011
R.J. O'BRIEN SECURITIES, LLC (CHICAGO IL)
IL
11/02/2007 - 04/07/2008
UHLMANN PRICE SECURITIES, LLC (SKOKIE IL)
NY
01/02/2003 - 11/17/2005
REFCO SECURITIES, LLC (NEW YORK NY)
BOTH
Issued 01/30/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/25/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2002
Series 7 - General Securities Representative Examination
BC
Issued 03/19/1993
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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