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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 Cass is a financial advisor who has been in the industry since 1980. He has held various roles at firms like Morgan Stanley DW Inc., Drexel Burnham Lambert Incorporated, and A.G. Becker Paribas Incorporated. Timothy is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and provides a range of advisory services, including portfolio management, financial planning, and investment research. He is registered to provide advisory services in several states, including California, Texas, Arizona, Florida, Georgia, and Illinois.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
08/25/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CARMEL CA)
CA
10/02/1985 - 08/28/2006
MORGAN STANLEY DW INC. (MONTEREY CA)
NA
08/31/1984 - 10/11/1985
DREXEL BURNHAM LAMBERT INCORPORATED
NA
01/04/1984 - 09/28/1984
A.G. BECKER PARIBAS INCORPORATED
NA
03/27/1981 - 01/09/1984
PAULSON INVESTMENT COMPANY, INC.
NA
02/04/1981 - 06/17/1981
BREWER & CHANDLER, INC.
NA
03/21/1980 - 02/17/1981
FIRST WILSHIRE SECURITIES MANAGEMENT, INC.
IA
Issued 04/04/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/1989
Series 3 - National Commodity Futures Examination
BC
Issued 03/15/1980
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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