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Timothy Cerny

LPL Financial LLC
33 Years of Experience
Oak Creek, WI
9 DisclosuresBroker
View SEC Summary
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Timothy Cerny is a registered investment advisor at LPL Financial LLC, based in Oak Creek, WI, with 33 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.

LPL Financial LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)

LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.

View Full SEC Brochure

Location

8900 S Howell, Oak Creek, WI, 53154

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History

Regulatory History (9)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
March 2012
Final
Regulatory
January 2012
Final
Customer Dispute
April 2009
Settled
Customer Dispute
October 2008
Settled
Customer Dispute
September 2008
Settled
Customer Dispute
September 2008
Settled
Customer Dispute
August 2008
Settled
Customer Dispute
December 2007
Settled
Regulatory
January 2002
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Timothy operates under the DBA BMO Investment Services for his LPL business since 2021. This activity is investment-related.

Employment History
Current Registrations
LPL Financial LLC
March 2021 - Present · 5 yrs 4 mos
LPL Financial LLC
March 2021 - Present · 5 yrs 4 mos
LPL Financial LLCBroker
March 2021 - Present · 5 yrs 4 mos
Previous Registrations
BMO Harris Financial Advisors, INC
August 2012 - March 2021 · 8 yrs 7 mos
BMO Harris Financial Advisors, INC.Broker
August 2012 - March 2021 · 8 yrs 7 mos
M&i Financial Advisors, INC.
April 2012 - August 2012 · 4 mos
M&i Investment Management CORP.
April 2010 - April 2012 · 2 yrs
M&i Financial Advisors, INCBroker
December 2007 - August 2012 · 4 yrs 8 mos
M&i Financial Advisors, INC.
December 2007 - March 2010 · 2 yrs 3 mos
Chase Investment Services CORP.
July 2005 - December 2007 · 2 yrs 5 mos
Chase Investment Services CORP.Broker
July 2005 - December 2007 · 2 yrs 5 mos
Banc One Securities Corporation
January 2005 - July 2005 · 6 mos
Banc One Securities CorporationBroker
April 2004 - July 2005 · 1 yr 3 mos
Intersecurities, INC.Broker
February 2001 - April 2004 · 3 yrs 2 mos
Harbour Investments, INC.Broker
November 1999 - January 2001 · 1 yr 2 mos
Sii Investments, INC.Broker
October 1997 - November 1999 · 2 yrs 1 mo
Geneva Securities,inc.Broker
January 1996 - October 1997 · 1 yr 9 mos
Link Investment Services, INC.Broker
July 1995 - December 1995 · 5 mos
Invest Financial CorporationBroker
April 1994 - July 1995 · 1 yr 3 mos
Robert W. Baird & CO. IncorporatedBroker
June 1992 - April 1994 · 1 yr 10 mos
State Registrations14 states
AZCOFLGAILLAMIMNMTNJOHTXWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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