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Timothy Randall Banks

Diversified Capital Wealth Management, LLC

Mequon, WI

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Current Employers
Diversified Capital Wealth Management, Llc

11512 N. Port Washington Rd Ste 101C, Mequon, WI 53092 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2024-05-28
  • WI RA
    APPROVED
    Since 2024-05-28

Branch Locations

11512 N. Port Washington Rd Ste 101C, Mequon, WI 53092 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Sii Investments Franklin WI 08/2000 02/2018
Sii Investments Franklin WI 08/2000 02/2018
Lpl Financial Llc Franklin WI 02/2018 Present
  • 08/2000 → 02/2018
    Sii Investments
    Franklin, WI
  • 08/2000 → 02/2018
    Sii Investments
    Franklin, WI
  • 02/2018 → Present
    Lpl Financial Llc
    Franklin, WI
Previous Registrations
  • 2018-02-14 → 2022-10-28
    Lpl Financial Llc
    Franklin, WI
  • 2000-08-09 → 2018-02-14
    Sii Investments, Inc.
    Franklin, WI
    Appleton, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-12
S63 Uniform Securities Agent State Law Examination 1980-04-14
  • S66 Uniform Combined State Law Examination
    2001-01-12
  • S63 Uniform Securities Agent State Law Examination
    1980-04-14

View on SEC IAPD

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CHARLES SCHWAB & CO., INC.
OSAIC WEALTH, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
REINHART PARTNERS, LLC
MADISON INVESTMENT ADVISORS, LLC

Other Investors

WAYNE SPENCER FRANK
MELINDA AGNES WACKER
Blake Jalovec
WILLIAM GERARD MORSE
JUDITH K SCHULTZ
MICHAEL ALAN KRAMER
DANIEL JAY AIKEN
ANDREW MICHAEL WIZIARDE

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · MEQUON, WI
LPL FINANCIAL LLC · MEQUON, WI
CHARLES SCHWAB & CO., INC. · Mequon, WI
OSAIC WEALTH, INC. · MEQUON, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Mequon, WI
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MEQUON, WI
REINHART PARTNERS, LLC · MEQUON, WI
MADISON INVESTMENT ADVISORS, LLC · MEQUON, WI

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