TY
Timothy T. Yates
COMMONFUND SECURITIES
NORWALK, CT 06851
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CRD#: 4610556
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Professional summary
Timothy Titus Yates JR. is a registered financial professional currently at COMMONFUND SECURITIES, INC. located in Norwalk, Connecticut.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 2003. Timothy has worked at 1 firm and has passed the Series 63, SIE, Series 31, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Timothy Titus Yates JR.'s 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®
NoneExperience
Current
January 22, 2003 - Present
COMMONFUND SECURITIES, INC.
Office #1: 601 Merritt 7, Norwalk, CT 06851BD
CRD#: 43541
NORWALK, CT
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
Alabama(3/13/2003)
RR
Alaska(3/13/2003)
RR
Arizona(3/13/2003)
RR
Arkansas(3/13/2003)
RR
California(3/13/2003)
RR
Colorado(3/13/2003)
RR
Connecticut(3/13/2003)
RR
Delaware(3/13/2003)
RR
District of Columbia(3/13/2003)
RR
Florida(3/13/2003)
RR
Georgia(3/13/2003)
RR
Hawaii(3/13/2003)
RR
Idaho(3/13/2003)
RR
Illinois(3/13/2003)
RR
Indiana(3/13/2003)
RR
Iowa(3/13/2003)
RR
Kansas(3/13/2003)
RR
Kentucky(3/13/2003)
RR
Louisiana(3/13/2003)
RR
Maine(3/13/2003)
RR
Maryland(3/13/2003)
RR
Massachusetts(3/13/2003)
RR
Michigan(3/13/2003)
RR
Minnesota(3/13/2003)
RR
Mississippi(3/13/2003)
RR
Missouri(3/13/2003)
RR
Montana(3/13/2003)
RR
Nebraska(3/13/2003)
RR
Nevada(3/13/2003)
RR
New Hampshire(3/13/2003)
RR
New Jersey(3/13/2003)
RR
New Mexico(3/13/2003)
RR
New York(3/13/2003)
RR
North Carolina(3/13/2003)
RR
North Dakota(3/13/2003)
RR
Ohio(3/13/2003)
RR
Oklahoma(3/13/2003)
RR
Oregon(3/13/2003)
RR
Pennsylvania(3/13/2003)
RR
Puerto Rico(3/13/2003)
RR
Rhode Island(3/13/2003)
RR
South Carolina(3/13/2003)
RR
South Dakota(3/13/2003)
RR
Tennessee(11/19/2003)
RR
Texas(3/13/2003)
RR
Utah(3/13/2003)
RR
Vermont(3/13/2003)
RR
Virgin Islands(3/26/2020)
RR
Virginia(3/13/2003)
RR
Washington(3/13/2003)
RR
West Virginia(3/13/2003)
RR
Wisconsin(3/13/2003)
RR
Wyoming(3/13/2003)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
COMMONFUND SECURITIES, INC.
COMMONFUND SECURITIES, INC. | ENDOWMENT SERVICES, INC.
CRD#: 43541 / SEC#: , 8-50337
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
601 Merritt 7, Norwalk, CT 06851
Mailing Address
601 Merritt 7, Norwalk, CT 06851
Phone number
(203) 563-5000
Established
Delaware since 05/30/1997
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONFUND HOLDING COMPANY, INC. | SHAREHOLDER | |
| BARD, NANCY KIERNAN | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 1324063 |
| CERASUOLO, VIOLETTA | CHIEF COMPLIANCE OFFICER | 5362546 |
| DURRELL, SUSAN KERR | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 2945336 |
| HARITON, ANITA LYNNE | PRESIDENT AND CHIEF EXECUTIVE OFFICER; CHAIR, BOARD OF DIRECTORS | 4104946 |
| SPONGBERG, JONATHAN D | TREASURER | 5521666 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
COMMONFUND SECURITIES, INC.
CRD#: 43541Norwalk, CT 06851TRUST BUT VERIFY
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