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TIMOTHY JAMES KAY
TIMOTHY KAY
CRD#: 5443829
IA
B
INVESTMENT MANAGERS GROUP, LLCCRD#: 164203 31045 TEMECULA PARKWAY, SUITE 207
TEMECULA, CA 92592
TEMECULA, CA 92592
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 31045 TEMECULA PARKWAY
SUITE 207
TEMECULA, CA 92592
SUITE 207
TEMECULA, CA 92592
0
Disclosures
17
Years of Experience
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State Registrations
B
Arizona 11/22/2019
B
California 6/15/2012
IA
Arizona 3/11/2021
IA
Texas 5/30/2012
IA
California 5/25/2012
SRO Registrations
B
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IA
Registered with this firm since 5/25/2012
B
Registered with this firm since 6/15/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/24/2008 - 05/31/2012 | LAKE ELSINORE, CA | |
B | 01/01/2008 - 05/31/2012 | LAKE ELSINORE, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.