Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy James Clark is an active investment advisor representative and broker-dealer. Timothy James Clark is registered with Stifel, Nicolaus & Company, Inc. and has been in the industry since January 3, 1992. Timothy James Clark has held previous positions at SMITH BARNEY INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Timothy James Clark's registration is active in 25 states.
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.
1
2
MO
01/13/2020 - Present
Stifel, Nicolaus & Company, Inc. (CLAYTON MO)
NY
08/08/1994 - 11/10/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
12/12/1991 - 08/12/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 07/20/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/18/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/11/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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