DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Timothy Eugene Gardner
Feed of 09/14/2026
Also filed as Tim Gardner
At current firm
16 y
since Oct 5, 2009
In the industry
32 y
since Jun 24, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Ameriprise Financial Services, LLC national BD currentsince Oct 5, 2009 · San Diego, Ca
- Ameriprise Advisor Services, Inc. unclassifiedMar 30, 2009 to Oct 5, 2009 · San Diego, Ca
- Banc Of America Investment Services, Inc. unclassifiedAug 8, 2007 to Mar 30, 2009 · San Diego, Ca
- Stone & Youngberg LLC formerJul 12, 2004 to Aug 1, 2007 · San Diego, Ca
- Morgan Stanley Dw Inc. unclassifiedAug 24, 1998 to Jul 20, 2004 · La Jolla, Ca
Moves
a registration end followed by a registration begin elsewhere
- Ameriprise Advisor Services, Inc. to Ameriprise Financial Services, LLCleft Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- Banc Of America Investment Services, Inc. to Ameriprise Advisor Services, Inc.left Mar 30, 2009, registered Mar 30, 2009 (0 days) · Other
- Stone & Youngberg LLC to Banc Of America Investment Services, Inc.left Aug 1, 2007, registered Aug 8, 2007 (7 days) · Other
- Morgan Stanley Dw Inc. to Stone & Youngberg LLCleft Jul 20, 2004, registered Jul 12, 2004 (-8 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address