TG
Timothy C. Gupton
PROSPERITY - AN EISNERAMPER COMPANY
Raleigh, NC 27607
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CRD#: 5105990
TG
Professional summary
Timothy Craig Gupton, who also goes by Tim Gupton, is a registered financial advisor currently at PROSPERITY - AN EISNERAMPER COMPANY located in Raleigh, North Carolina.
Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Timothy has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Gupton
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.
1) HPG INVESTMENTS, LLC POSITION: MANAGER NATURE: ENTITY TO CONTRACT FOR CFO SERVICES WITH LIFE SCIENCE COMPANIES, & HOLD EQUITY INSTRUMENTS AWARDED FOR CFO SERVICES INVESTMENT RELATED: Yes : HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/1997 ADDRESS: Raleigh NC DESCR: MONITOR EQUITY POSITIONS & SIGN LEGAL & TAX DOCUMENTS. 2) MAYVIEW PARK HOMEOWNERS ASSOCIATION, INC. POSITION: Director - VP Communications NATURE: Volunteer on the board of MPHOA which is a voluntary non-profit serving the interests of the neighborhood. Dues are voluntary, and board has no authority to assess the homeowners. INVESTMENT RELATED: No # OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 10/31/2018 ADDR: PO Box 1626, Blowing Rock NC 28605 DESCR: Help with communications to the neighbors. 3) THE VILLAGE FOUNDATION OF BLOWING ROCK POSITION: Board of Directors NATURE: The mission is to promote, implement , and support business education, solicitation and retention, and (b) economic development for purposes of improving living standard, and economic vitality of Blowing Rock, , fostering economic growth and development and lessening the burdens on local government. INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/07/2018 ADDR: PO Box 2716, Blowing Rock NC 28605 DESCR: Board of directors. 4) BLOWING ROCK CIVIC ASSOCIATION, INC POSITION: Director & President NATURE: Board member of civic association dedicated to educating homeowners in Blowing Rock, NC. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 6 START DATE: 06/01/2018 ADDR: PO Box 2471, Blowing Rock NC 28605 DESCR: Serve on board to advise and approve programs for the civic association. 5) BLOWING ROCK TOURISM DEVELOPMENT AUTHORITY POSITION: Director NATURE: At large director on 5 member board to oversee tourism promotion for the Town of Blowing Rock funded by an occupancy tax of about $1M per year. INVESTMENT RELATED: No # OF HOURS: 8 SECURITIES TRADING HOURS: 4 START DATE: 03/03/2020 ADDR: 1036 Main Street, PO Box 47, Blowing Rock NC 28605 DESCR: Appointed by the Town Council to serve as a member of the board of directors that meets 4 times a year. The TDA is a separate legal entity consolidated with the Town of Blowing as established by local ordinance and state approval. 6) SHORE CLUB CONDOMINIUM ASSOCIATION, INC. POSITION: Director NATURE: Board of Directors INVESTMENT RELATED: No # OF HOURS: 14 SECURITIES TRADING HOURS: 16 START DATE: 03/14/2024 ADDR: 1901 North Ocean Blvd, Fort Lauderdale FL 33305 DESCR: Board oversight and management role. 7) SHORE CLUB CONDO ASSOCIATION, INC. POSITION: Treasurer NATURE: Officer - Volunteer Treasurer for Condo Association INVESTMENT RELATED: No # OF HOURS: 32 SECURITIES TRADING HOURS: 32 START DATE: 03/14/2023 ADDR: 1901 North Ocean Blvd, Fort Lauderdale FL 33305 DESCR: Oversee financial reporting done by Association Management Company and prepare budget with Manager and Board. Co-approve expenditures with president for payment by the Management Company Accounting Department. Will electronically sign as authorized signer with president on each check. Bill payment is handled by the Management Company accounting staff.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Craig Gupton'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
August 7, 2024 - Present
PROSPERITY - AN EISNERAMPER COMPANY
Office #1: 1500 Sunday Drive Suite 300, Raleigh, NC 27607RIA
CRD#: 133777
Raleigh, NC
Past
October 25, 2019 - August 19, 2024
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Blowing Rock, NC
Past
October 25, 2019 - August 19, 2024
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
RALEIGH, NC
Past
May 30, 2011 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
RALEIGH, NC
Past
November 17, 2010 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
RALEIGH, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
P-
PROSPERITY - AN EISNERAMPER COMPANY
PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY
CRD#: 133777 / SEC#: 801-96321
RIA
Registered Investment Advisory firm - (5/18/2015 Approved)Florida
Registered Investment Advisory firm - (5/20/2015 Terminated)Maryland
Registered Investment Advisory firm - (5/19/2015 Terminated)Virginia
Registered Investment Advisory firm - (5/20/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
North Carolina(8/7/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
P-
PROSPERITY - AN EISNERAMPER COMPANY
PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY
CRD#: 133777 / SEC#: 801-96321
RIA
Registered Investment Advisory firm - (5/18/2015 Approved)Florida
Registered Investment Advisory firm - (5/20/2015 Terminated)Maryland
Registered Investment Advisory firm - (5/19/2015 Terminated)Virginia
Registered Investment Advisory firm - (5/20/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10065 Red Run Boulevard Suite 200, Owings Mills, MD 21117
Mailing Address
Phone number
(410) 363-7211
Established
Firm type
Fiscal year end
# of Employees
66
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,557 |
| AUM (Assets Under Management) | $ 3,195,898,263 |
Red Flags
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Company Information
PROSPERITY - AN EISNERAMPER COMPANY
CRD#: 133777Raleigh, NC 27607TRUST BUT VERIFY
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