Timothy James Harlow

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2019-08-16
TX	RA	APPROVED	2019-08-14

UT RA
APPROVED

Since 2019-08-16
TX RA
APPROVED

Since 2019-08-14

Branch Locations

Highland, UT • United States

8759 S Highland Dr, Sandy, UT 84093 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Royal Alliance Associates, Inc.	Highland	UT	12/1996	07/2019
Th Financial	Highland	UT	04/2004	Present
Lpl Financial	Highland	UT	08/2019	Present

12/1996 → 07/2019

Royal Alliance Associates, Inc.

Highland, UT
04/2004 → Present

Th Financial

Highland, UT
08/2019 → Present

Lpl Financial

Highland, UT

Previous Registrations

2004-09-22 → 2019-08-16

Osaic Wealth, Inc.

Highland, UT

Highland, UT
2004-11-10 → 2019-08-16

Th Financial

Highland, UT

Other Businesses

1)01/2004 - DBA for LPL Business (entity for LPL business) - TH Financial - 85% - INVESTMENT RELATED - HIGHLAND, UT 84003 2)01/1995 - Non-Variable Insurance - TIMOTHY HARLOW - 5% - INVESTMENT RELATED - HIGHLAND, UT 84003

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-05-28
S63	Uniform Securities Agent State Law Examination	1995-03-06

S65 Uniform Investment Adviser Law Examination

2004-05-28
S63 Uniform Securities Agent State Law Examination

1995-03-06

View on SEC IAPD