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TIMOTHY WILLIAM MOFFITT
CRD#: 4436591
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 Sarasota, FL
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2014 - Present (10 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2001 - 2014 (13 years)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)2001 - 2002 (<1 year)IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2007 - 2014 (7 years)
License(s)

State Registrations

B
Arizona 2/3/2021

B
Nevada 8/31/2021

B
Arkansas 10/19/2017

B
New York 11/24/2014

B
California 5/5/2021

B
Ohio 8/29/2014

B
Colorado 8/29/2014

B
Oregon 3/13/2020

B
Florida 5/19/2020

B
South Carolina 4/26/2022

IA
Florida 1/13/2021

B
Tennessee 4/26/2022

B
Georgia 8/29/2014

B
Texas 8/29/2014

B
Illinois 8/29/2014

IA
Texas 9/2/2014

IA
Illinois 8/29/2014

B
Washington 8/29/2014

B
Indiana 8/29/2014

B
Wisconsin 8/29/2014

B
Iowa 9/22/2015

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
Sarasota, FL
Registered with this firm since 8/29/2014

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
Sarasota, FL
Registered with this firm since 8/29/2014

Previous Registration(s)
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IA
06/27/2007 - 09/17/2014 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) SCHAUMBURG, IL
B
09/24/2001 - 09/17/2014 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) SCHAUMBURG, IL
B
09/27/2001 - 01/01/2002 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
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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.