Timothy M. Singleton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Timothy Michael Singleton, who also goes by Timothy M Singleton, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1984. Timothy had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2014 - July 28, 2014
WHITAKER SECURITIES LLC
September 6, 2011 - October 24, 2013
BGC FINANCIAL, L.P.
May 4, 1995 - September 13, 2011
FIRST BROKERS SECURITIES LLC
June 30, 1989 - April 26, 1995
CHAPDELAINE CORPORATE SECURITIES & CO
April 3, 1987 - July 13, 1989
KMS CORPORATE BROKERS, INC.
January 21, 1985 - April 8, 1985
THE STUART-JAMES COMPANY, INCORPORATED
December 18, 1984 - December 28, 1984
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
