Tim Gilmore (CRD #: 2479049), a broker registered with Pruco Securities, is involved in a dispute for over $100,000, according to his BrokerCheck record, accessed on December 28, 2020.

Excessive Trading Edit

On November 6, 2020, a client alleged that they never authorized converting an IRA to a Roth IRA. The client is seeking $112,205. The dispute is pending.

There are two other disclosures on Gilmore’s BrokerCheck record, both related to unsuitable annuities. Annuities can be complex investments and are the subject of many investor disputes.

Tim Gilmore has passed the Series 65 Uniform Investment Adviser Law Examination, Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, the Series 6 Investment Company Products/ Variable Contracts Representative Examination, and the Series 26 Investment Company Products/ Variable Contracts Principal Examination. He is a registered broker in California, Colorado, Florida, Hawaii, Illinois, North Carolina, Utah, and Washington. He is also a registered investment adviser in California.

During his 26 years of experience, Tim Gilmore has only worked for two firms:

  • Pruco Securities (CRD #: 5685)
  • Prudential Financial Planning Services (CRD #5685)

If Tim Gilmore was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for a free case consultation with a securities attorney.

Leave a Comment