Individual Firm
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TIMOTHY JUDE PAGLIARA
TIM PAGLIARA, TIMOTHY PAGLIARA
CRD#: 733637
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CAPWEALTH ADVISORS, LLCCRD#: 148781 4031 ASPEN GROVE DRIVE
SUITE 600
FRANKLIN, TN 37067
SUITE 600
FRANKLIN, TN 37067
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1/21/2010
Customer Dispute
Settled
State Registrations
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California 12/23/2009
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Missouri 3/30/2011
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Florida 8/29/2011
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Tennessee 12/21/2009
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Georgia 4/20/2011
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Texas 11/18/2016
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Illinois 4/4/2011
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Registered with this firm since 12/21/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/24/2020 - 01/11/2021 | FRANKLIN, TN | |
IA | 11/21/2013 - 12/31/2019 | FRANKLIN, TN | |
B | 12/22/2009 - 06/05/2018 | FRANKLIN, TN | |
IA | 05/31/2002 - 12/23/2009 | FRANKLIN, TN | |
B | 05/31/2002 - 12/23/2009 | FRANKLIN, TN | |
IA | 02/25/2000 - 06/06/2002 | FRANKLIN, TN | |
B | 02/25/2000 - 06/06/2002 | CHARLOTTE, NC | |
B | 03/09/1989 - 02/29/2000 | LOUISVILLE, KY | |
B | 06/23/1981 - 03/15/1989 | ST. LOUIS, MO |
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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.
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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.