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Timothy E Leroux

Wells Fargo Securities, LLC

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About Timothy E Leroux

Timothy Leroux is a financial advisor with Wells Fargo Securities, LLC. Timothy has been in the financial industry since 2004. Timothy has experience with a variety of firms, including BMO Capital Markets Corp., KGS-ALPHA Capital Markets, L.P., Stormharbour Securities LP, Imperial Capital, LLC, Bedrock Securities LLC, UBS Securities LLC, Stoncastle Securities, LLC, Sandler, O’Neill & Partners, L.P., and Citigroup Global Markets Inc. Timothy holds the Series 63, 66, 7, 79, and SIE licenses.

Firm Information

Timothy Leroux is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Timothy Leroux’s Registration & Firm History

NC

11/18/2022 - Present

Wells Fargo Securities, LLC (CHARLOTTE NC)

NY

09/01/2018 - 04/29/2019

BMO CAPITAL MARKETS CORP. (New York NY)

NY

03/28/2017 - 09/01/2018

KGS-ALPHA CAPITAL MARKETS, L.P. (NEW YORK NY)

NY

12/07/2016 - 02/16/2017

STORMHARBOUR SECURITIES LP (NEW YORK NY)

NC

11/02/2015 - 12/14/2016

IMPERIAL CAPITAL, LLC (Charlotte NC)

NC

05/10/2011 - 07/14/2015

WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)

NY

01/05/2009 - 03/25/2011

BEDROK SECURITIES LLC (RYE NY)

NY

10/06/2006 - 01/14/2009

UBS SECURITIES LLC (NEW YORK NY)

NY

03/23/2005 - 09/12/2006

STONECASTLE SECURITIES, LLC (NEW YORK NY)

NY

06/18/2003 - 03/15/2005

SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)

NY

08/08/2002 - 06/12/2003

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/07/2022

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 07/03/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/18/2022

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/07/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Timothy E Leroux. Review regulatory record here.
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