Timothy Volker Fired by LPL Financial Following Allegations

Timothy Volker (CRD #: 6822657) has been terminated by LPL Financial. This disclosure appears on his BrokerCheck record, accessed on October 7, 2025. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations

On August 22, 2025, LPL Financial fired Timothy Volker following allegations that he failed to disclose and receive prior approval for participation in an outside business activity and private securities transactions. 

Outside Business and Selling Away

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.

He has two outside businesses listed on his detailed BrokerCheck record: Heart of Lightness and Crescera Wealth. 

Private Securities Transactions 

FINRA Rule 3280 requires brokers to provide written notice to their firm before engaging in private securities transactions. If the broker is to receive compensation for their participation in the transaction, the member firm may not approve the broker’s participation. This includes selling away, which is the practice of brokers selling investments not offered or approved by their firm.

Background Information 

Timothy Volker has passed the following exams: 

• Series 66 – Uniform Combined State Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 6 Investment Company Products / Variable Contracts Representative Examination 

He has registered with the following firms: 

• LPL Financial (CRD #: 6413) 
• Edward Jones (CRD #: 250) 
• Foresters Financial Services (CRD #: 305) 

Kurta Law Can Help 

If you have worked with Timothy Volker and you 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.