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Timothy Gardner is Facing an Investor Dispute

Timothy Gardner (CRD #: 2480619), a broker registered with Ameriprise Financial Serices, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on December 8, 2023. Keep reading if you have questions about his alleged conduct. 

On September 12, 2023, an investor names Timothy Garnder. The dispute alleges individuals were allowed to withdraw money from the account without proper authorization. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized withdrawals and potential misappropriation violate this rule. 

Background Information 

Timothy Gardner has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 19 states and is a registered investment adviser in California and Texas. 

During 29 years of experience, he has registered with seven firms: 

  • Ameriprise Financial Services (CRD #: 6363) 
  • Ameriprise Advisor Services (CRD #: 5979) 
  • Banc of America Investment Services (CRD #: 16361) 
  • Stone & Younger (CRD #: 795) 
  • Morgan Stanley (CRD #: 7556) 
  • Smith Barney (CRD #: 7059) 
  • Painewebber Incorporated (CRD #: 8174)

Kurta Law Can Help 

If you have worked with Timothy Gardner and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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