Timothy Kay has been Managing Member & Chief Compliance Officer of Investment Managers Group since May 2012, is a control person of the firm and directly owns 75% or more of it.
Investment Managers Group, LLC is a Temecula, CA firm with $117M under management, 244 clients and 2 advisers in one office, as of its March 2026 filing.
Timothy Kay is an Investment Advisor with Investment Managers Group. He has over 17 years of experience in the business, having first started his career with Wachovia Securities / Wells Fargo, where he spent 5 years. He is responsible for research, managing and growing client relationships, and the managing of compliance for the firm.
Timothy Kay’s longest registration is the current one, 14 years at Investment Managers Group since 2012. Before joining Investment Managers Group in 2012, Timothy Kay was registered through Wells Fargo Advisors, LLC.
- – present · 14 yearsTemecula, CA · Adviser representative · Firm CRD 164203
- Wells Fargo Advisors, LLC– · 4 yearsLake Elsinore, CA · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
Timothy Kay is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from May 2012; the most recent is Arizona, in March 2021.
- ArizonaSince 11 March 2021
- CaliforniaSince 25 May 2012
- TexasResidentSince 30 May 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 23 April 2008 |
| Series 7 | General Securities Representative Examination | 26 December 2007 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Timothy James Kay
- CRD
- 5443829
- Firm
- Investment Managers Group · CRD 164203
- Role
- Managing Member & Chief Compliance Officer
- Office
- 31045 TEMECULA PARKWAY, SUITE 207, Temecula, CA 92592
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 2007
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- investmentmanagersgroup.com
Where does Timothy Kay work?
Timothy Kay has been Managing Member & Chief Compliance Officer of Investment Managers Group, LLC since May 2012, and is a control person of the firm.
Is Timothy Kay a financial advisor?
Yes. Timothy Kay has a current investment-adviser registration in Arizona, California and Texas, through Investment Managers Group since May 2012.
How many years of experience does Timothy Kay have?
Timothy Kay has 18 years in the financial industry, since December 2007, across 2 adviser firms.
What exams has Timothy Kay passed?
Timothy Kay has passed 3 licensing exams: the Series 7, Series 66 and Series 99TO. The earliest, the Series 7, was passed in December 2007. FINRA credited Timothy Kay with the SIE, which began in October 2018.
Where is Timothy Kay based?
Timothy Kay’s registered office is in Temecula, CA.
Is Timothy Kay registered with FINRA?
Yes. Timothy Kay has a current broker registration, under CRD 5443829.
Source: FINRA BrokerCheck
How can I verify Timothy Kay’s record?
Search CRD 5443829 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Timothy Kay’s full registration record.