Timothy Whitney has been Chief Executive Officer of Tradewinds since October 2021, is a control person of the firm and directly owns under 5% of it.
Tradewinds, LLC is a Raleigh, NC firm with $659M under management, 505 clients and 9 advisers in one office, as of its March 2026 filing.
Timothy Whitney’s longest registration was 17 years at Wells Fargo Clearing Services, LLC (2004–2022). Before joining Tradewinds in 2022, Timothy Whitney was registered through Wells Fargo Clearing Services, LLC.
- Wells Fargo Clearing Services, LLC– · 17 yearsRaleigh, NC · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
Timothy Whitney is registered as an investment adviser representative in North Carolina, since February 2022.
- North CarolinaSince 4 February 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 16 August 2006 |
| Series 65 | Uniform Investment Adviser Law Examination | 18 March 2004 |
| Series 7 | General Securities Representative Examination | 15 July 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 18 October 2002 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 23 August 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Timothy M. Whitney
- CRD
- 4560097
- Firm
- Tradewinds · CRD 316415
- Role
- Chief Executive Officer
- Office
- 4600 MARRIOTT DR., SUITE 200, Raleigh, NC 27612
- Registration
- Investment adviser registration
- In the industry since
- November 2002
- Disciplinary history
- Not yet shown here · SEC record
Where does Timothy Whitney work?
Timothy Whitney has been Chief Executive Officer of Tradewinds, LLC since October 2021, and is a control person of the firm.
Is Timothy Whitney a financial advisor?
Yes. Timothy Whitney has a current investment-adviser registration in North Carolina, through Tradewinds since February 2022.
How many years of experience does Timothy Whitney have?
Timothy Whitney has 23 years in the financial industry, since November 2002, across 2 adviser firms.
What exams has Timothy Whitney passed?
Timothy Whitney has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 65 and Series 31. The earliest, the Series 6, was passed in August 2002. FINRA credited Timothy Whitney with the SIE, which began in October 2018.
Where did Timothy Whitney work before Tradewinds?
Before Tradewinds, Timothy Whitney was registered through Wells Fargo Clearing Services, LLC, March 2004 to January 2022.
Where is Timothy Whitney based?
Timothy Whitney’s registered office is in Raleigh, NC.
Is Timothy Whitney registered with FINRA?
No. Timothy Whitney has no current broker registration.
How can I verify Timothy Whitney’s record?
Search CRD 4560097 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Timothy Whitney’s full registration record.
