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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy Laurence Prete is a financial advisor with over 25 years of experience in the industry. Timothy is currently registered with Wealthpenn.comllc in Connecticut, Florida and Texas. Timothy was previously registered with UBS FINANCIAL SERVICES INC., WACHOVIA SECURITIES, LLC, FIRST UNION BROKERAGE SERVICES, INC., FIS SECURITIES, INC. and SHAWMUT BROKERAGE, INC. Timothy has passed the Series 6, Series 7, Series 66 and SIE exams. Timothy is also registered as an Investment Advisor Representative in Connecticut, Florida, and Texas. Timothy has a wide range of experience, including portfolio management for individuals, businesses, and investment companies.
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.
Strategic management for diversified investment portfolios.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CT
04/08/2020 - Present
Wealthpenn.comllc (Hartford CT)
CT
01/12/2007 - 06/10/2010
UBS FINANCIAL SERVICES INC. (HARTFORD CT)
MO
10/01/2000 - 12/31/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
12/12/1996 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
MA
09/17/1993 - 01/03/1995
FIS SECURITIES, INC. (BOSTON MA)
NA
05/28/1993 - 08/23/1993
SHAWMUT BROKERAGE, INC.
BOTH
Issued 1/30/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/3/1999
Series 7 - General Securities Representative Examination
BC
Issued 5/27/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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