Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
TIMOTHY JUDE PAGLIARA
TIM PAGLIARA, TIMOTHY PAGLIARA
CRD#: 733637
IA
Investment Adviser
B
Previous Broker
CAPWEALTH ADVISORS, LLCCRD#: 148781 4031 ASPEN GROVE DRIVE
SUITE 600
FRANKLIN, TN 37067
Registration History
1985199019952000200520102015202020252 FIRMS2000 - 2002 (2 years)2 FIRMS2002 - 2009 (7 years)IACAPWEALTH ADVISORS, LLC (CRD# 148781)2009 - Present (15 years)BCAPWEALTH INVESTMENT SERVICES, LLC (CRD# 139664)2009 - 2018 (8 years)BJ.J.B. HILLIARD, W.L. LYONS, INC. (CRD# 453)1989 - 2000 (10 years)BEDWARD D. JONES & CO., L.P. (CRD# 250)1981 - 1989 (7 years)IACAPWEALTH INSIGHTS, LLC (CRD# 168798)2020 - 2021 (<1 year)IACAPWEALTH INSIGHTS, LLC (CRD# 168798)2013 - 2019 (6 years)
Disclosure(s)
View By:
1/21/2010
Customer Dispute
Settled
License(s)

State Registrations

IA
California 12/23/2009
IA
Missouri 3/30/2011
IA
Florida 8/29/2011
IA
Tennessee 12/21/2009
IA
Georgia 4/20/2011
IA
Texas 11/18/2016
IA
Illinois 4/4/2011
Current Registration(s)
IA
CAPWEALTH ADVISORS, LLC (CRD#:148781)
4031 ASPEN GROVE DRIVE SUITE 600, FRANKLIN, TN 37067
Registered with this firm since 12/21/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/24/2020 - 01/11/2021 CAPWEALTH INSIGHTS, LLC (CRD#:168798) FRANKLIN, TN
IA
 11/21/2013 - 12/31/2019 CAPWEALTH INSIGHTS, LLC (CRD#:168798) FRANKLIN, TN
B
 12/22/2009 - 06/05/2018 CAPWEALTH INVESTMENT SERVICES, LLC (CRD#:139664) FRANKLIN, TN
IA
 05/31/2002 - 12/23/2009 NBC SECURITIES, INC. (CRD#:17870) FRANKLIN, TN
B
 05/31/2002 - 12/23/2009 NBC SECURITIES, INC. (CRD#:17870) FRANKLIN, TN
IA
 02/25/2000 - 06/06/2002 CAPTRUST FINANCIAL ADVISORS (CRD#:41727) FRANKLIN, TN
B
 02/25/2000 - 06/06/2002 CAPTRUST FINANCIAL ADVISORS, LLC (CRD#:41727) CHARLOTTE, NC
B
 03/09/1989 - 02/29/2000 J.J.B. HILLIARD, W.L. LYONS, INC. (CRD#:453) LOUISVILLE, KY
B
 06/23/1981 - 03/15/1989 EDWARD D. JONES & CO., L.P. (CRD#:250) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.