Northwestern Mutual Advisor Timothy Claypool Suspended by FINRA

AMARILLO, TEXAS

Financial advisor, Timothy Claypool has been indefinitely suspended by FINRA, as of June 2023.  He previously worked with Northwestern Mutual, and failed to respond to a FINRA investigation, which led to the suspension by FINRA.

In October 2021, Claypool was permitted to resign by Northwestern Mutual.  The brokerage firm filed a Form U5, alleging that he was under investigation for potentially unsuitable variable annuity sales, and he also referred a customer to participate in a passive investment.

Timothy Claypool worked in Amarillo, Texas.  He was licensed with Northwestern Mutual from November 2017 to October 2021, as well as several other firms between 2004 and 2017.

He had been licensed with Northwestern Mutual from August 2011 to April 2023 in Texas City, and was licensed with five other firms prior to Northwestern Mutual.  Financial advisors are required to comply with FINRA’s investigation or face punishment under FINRA Rule 8210.

View Claypool, t BrokerCheck 7.12.23

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