Timothy Caso
Investment adviser representative at Spc
10 yearsExperience
1 stateRegistered in
$6.1BFirm assets
42 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- SpcSep 2022 to now
- Sigma Financial CorporationSep 2022 to now
- Equity Services IncMay 2020 to Sep 2022
- National Life GroupMay 2020 to Sep 2022
- UnemployedMar 2020 to May 2020
- MML Investors ServicesJan 2018 to Mar 2020
- MassmutualNov 2017 to Mar 2020
- Concorde Asset Management, LLCOct 2016 to Sep 2017
- Concorde Investment Services, LLCOct 2016 to Sep 2017
- E-street FinancialSep 2016 to Oct 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law1994
- Series 65 · Uniform Investment Adviser Law2007
State registrations
Registered as an investment adviser representative in 1 state (PA).
Spc
Legal name: Sigma Planning Corporation
$6.1BAssets managed
30,916Clients
474Advisers
42 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 1849638
- Firm CRD
- 110692