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Timothy Leon Pittman

CRD# 2955718·Registered 1998 - 2009
Barred: Timothy Leon Pittman was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Timothy Leon Pittman was a registered financial advisor. Timothy was a previously registered financial advisor and started their career in finance 1998 - 2009. Timothy had worked at 6 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years in the financial services industry

Current & Past Employments

PITTMAN CAPITAL MANAGEMENT·CRD# 147515
RIA
Chico, CA
October 14, 2008 - August 6, 2009
SIGNATURE FINANCIAL GROUP, INC.·CRD# 38249
BD
Torrance, CA
February 28, 2006 - March 18, 2010
FIRST MONTAUK SECURITIES CORP.·CRD# 13755
RIA
Chico, CA
February 26, 2004 - February 17, 2006
FIRST MONTAUK SECURITIES CORP.·CRD# 13755
BD
Chico, CA
August 8, 2001 - February 17, 2006
FIRST SECURITIES USA, INC.·CRD# 39986
BD
Irvine, CA
December 21, 1999 - August 3, 2001
MUTUAL SECURITIES, INC.·CRD# 13092
BD
Westlake Village, CA
June 2, 1999 - December 15, 1999
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
August 27, 1998 - April 26, 1999

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 1998About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1997About the Series 63 exam

Series 31 — Futures Managed Funds Examination

Passed Sep 1998About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Aug 1998About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 2001About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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