Timothy S. Proffitt
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 Stanley Proffitt, who also goes by Tim Proffitt, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2009. Timothy had worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2015 - August 1, 2023
RHCA SECURITIES, LLC
April 23, 2014 - February 11, 2015
SP SECURITIES LLC
September 22, 2009 - April 28, 2014
WOODROCK SECURITIES, L.P.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
RHCA SECURITIES, LLC
CRD#: 170942 / SEC#: , 8-69439
Contact information
Documents
Red Flags
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