Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy Walsh is a financial advisor who has been in the industry since 1981. He is currently registered with Stifel, Nicolaus & Company, Inc. in California and Texas. Timothy has experience with Wells Fargo Advisors, LLC, A. G. Edwards & Sons, Inc., Morgan Stanley DW Inc., and Dean Witter Reynolds Inc. He provides a variety of services including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles.
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
CA
07/30/2019 - Present
Stifel, Nicolaus & Company, Inc. (WESTLAKE VILLAGE CA)
CA
01/01/2008 - 09/06/2016
WELLS FARGO ADVISORS, LLC (WOODLAND HILLS CA)
CA
11/08/2005 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SHERMAN OAKS CA)
NY
12/07/1985 - 11/11/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NA
05/18/1981 - 12/14/1983
DEAN WITTER REYNOLDS INC.
IA
Issued 05/22/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/05/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/03/1983
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1992
Series 3 - National Commodity Futures Examination
BC
Issued 12/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 05/16/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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