Tim Woodall, financial advisor Newport Beach CA
83 score

Tim Woodall

CRD Number: 3097392
Current Firm: First Republic Investment Management, Inc.

Tim Woodall (CRD# 3097392) is an Investment Advisor Representative working at First Republic Investment Management, Inc. in Newport Beach, CA and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
First Republic Investment Management Newport Beach, CA Sep 2015 - Current 1
First Republic Securities Company Newport Beach, CA Sep 2015 - Current 1
Ubs Financial Services Inc. Newport Beach, CA Jan 2009 - Sep 2015 6
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach, CA Jul 1998 - Jan 2009 10
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination May 2005
S66 NASAA Uniform Combined State Law Examination Nov 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Tim J. Woodall
Phone Number: 415-392-1400
Firm Website: http://www.cwallc.com
Registered State(s):
  • AZ
  • CA
  • MA
  • NV
  • WA
  • MI
  • CT
By the Numbers
  • Total Assets Under Management
    47,211
    MILLIONS
  • Total Number of Accounts
    31,062
    ACCOUNTS
  • Average Account Value
    $1,519,892
Compensation Options
  • A percentage of assets under your management
  • Commissions
  • Performance-based fees
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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