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TIMOTHY DALE FRIEND
TIM DALE FRIEND, TIM FRIEND, Tim D Friend
CRD#: 4034408
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 8332 Woodfield Crossing Blvd
Indianapolis, IN 46240
CHARLES SCHWAB & CO., INC.CRD#: 5393 8332 Woodfield Crossing Blvd
Indianapolis, IN 46240-2482
Registration History
201220142016201820202022202420262 FIRMS2021 - Present (3 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)2018 - 2021 (2 years)BSIGNATOR INVESTORS, INC. (CRD# 468)2016 - 2018 (2 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2012 - 2016 (4 years)
License(s)

State Registrations

B
Alabama 10/19/2022

B
Montana 10/19/2022

B
Alaska 10/19/2022

B
Nebraska 10/19/2022

B
Arizona 10/19/2022

B
Nevada 10/19/2022

B
Arkansas 10/19/2022

B
New Hampshire 10/19/2022

B
California 10/21/2022

B
New Jersey 10/19/2022

B
Colorado 10/19/2022

B
New Mexico 7/6/2021

B
Connecticut 10/19/2022

B
New York 10/19/2022

B
Delaware 10/19/2022

B
North Carolina 10/19/2022

B
District of Columbia 10/19/2022

B
North Dakota 10/19/2022

B
Florida 10/21/2022

B
Ohio 10/21/2022

B
Georgia 10/19/2022

B
Oklahoma 10/19/2022

B
Hawaii 10/19/2022

B
Oregon 10/19/2022

B
Idaho 10/19/2022

B
Pennsylvania 10/19/2022

B
Illinois 7/6/2021

B
Puerto Rico 10/19/2022

B
Indiana 6/8/2021

B
Rhode Island 10/19/2022

IA
Indiana 6/22/2021

B
South Carolina 10/19/2022

B
Iowa 10/19/2022

B
South Dakota 10/19/2022

B
Kansas 10/19/2022

B
Tennessee 10/19/2022

B
Kentucky 10/19/2022

B
Texas 7/6/2021

B
Louisiana 10/19/2022

B
Utah 10/19/2022

B
Maine 10/19/2022

B
Vermont 10/19/2022

B
Maryland 10/19/2022

B
Virgin Islands 10/19/2022

B
Massachusetts 10/19/2022

B
Virginia 10/19/2022

B
Michigan 10/21/2022

B
Washington 10/19/2022

B
Minnesota 7/6/2021

B
West Virginia 10/19/2022

B
Mississippi 10/19/2022

B
Wisconsin 7/6/2021

B
Missouri 7/6/2021

B
Wyoming 10/19/2022

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
8332 Woodfield Crossing Blvd, Indianapolis, IN 46240
Registered with this firm since 6/22/2021

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482
Registered with this firm since 6/8/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
B
11/02/2018 - 05/25/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) ANDERSON, IN
B
05/13/2016 - 11/02/2018 SIGNATOR INVESTORS, INC. (CRD#:468) ANDERSON, IN
B
02/09/2012 - 05/13/2016 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) ANDERSON, IN
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.