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TP

Troy M. Pittock

AMERICAN FIDELITY SECURITIES
Oklahoma City, OK 73114-3701
Some features on this profile are disabled
CRD#: 1399063
TP

Professional summary

Troy Martin Pittock is a registered financial professional currently at AMERICAN FIDELITY SECURITIES, INC. located in Oklahoma City, Oklahoma.

Troy is registered as a RR (Registered Representative) and started their career in finance in 1989. Troy has worked at 3 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Troy Martin Pittock's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 18, 2020 - Present

AMERICAN FIDELITY SECURITIES, INC.

Office #1: 9000 Cameron Parkway, Oklahoma City, OK 73114-3701
BD
CRD#: 11852
Oklahoma City, OK
Past

July 8, 1997 - December 5, 2006

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SAN MATEO, CA
Past

March 16, 1994 - December 5, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SAN MATEO, CA
Past

July 20, 1989 - April 21, 1993

ALPINE BROKER SERVICES CORP.

BD
CRD#: 17941
ENGLEWOOD, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(4/30/2022)
RR
California
(6/23/2020)
RR
Iowa
(5/4/2022)
RR
Nevada
(10/23/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/23/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/22/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 6/18/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/13/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/19/1989
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
AMERICAN FIDELITY SECURITIES, INC.
AMERICAN FIDELITY ASSURANCE | AMERICAN FIDELITY SECURITIES, INC.

CRD#: 11852 / SEC#: , 8-15123

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
9000 Cameron Parkway, Oklahoma City, OK 73114-3701
Mailing Address
9000 Cameron Parkway, Oklahoma City, OK 73114
Phone number
(405) 416-8967
Established
Oklahoma since 08/26/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AMERICAN FIDELITY ASSURANCE COMPANYSHAREHOLDER
BOLDEN, TIMOTHY HDIRECTOR5376036
COLON, TARYN KASSISTANT VICE PRESIDENT, TREASURER, FINOP PRINCIPAL, AND PRINCIPAL FINANCIAL OFFICER7642942
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
GRANT, ANGELA FAITHDIRECTOR4176509
KEELING, COURTNEY DANAEASSISTANT VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER7675059
KENNEY, CHRISTOPHER THOMASCHAIRMAN OF THE BOARD, CEO, AND PRESIDENT5452832
OVERFIELD, LINDA EASSISTANT VICE PRESIDENT

Disclosures

Regulatory Event1

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.

Company Information

AMERICAN FIDELITY SECURITIES, INC.

CRD#: 11852Oklahoma City, OK 73114-3701

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