Timothy S. Trebbe
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 Shannon Trebbe, who also goes by Tim Trebbe, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1981. Timothy had worked at 13 firms and has passed the Series 63, SIE and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2011 - October 2, 2017
RAYMOND JAMES & ASSOCIATES, INC.
May 10, 2011 - October 28, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 25, 2010 - April 25, 2011
INSPEREX LLC
May 22, 2007 - May 25, 2010
VINING-SPARKS IBG, LLC
August 28, 2003 - February 5, 2007
PRAGER & CO., LLC
May 7, 2001 - September 16, 2003
HILLTOP SECURITIES INC.
November 15, 1994 - May 3, 2001
WILLIAM R. HOUGH & CO.
July 22, 1993 - November 8, 1994
R.W. SMITH & ASSOCIATES, LLC
May 15, 1991 - June 30, 1993
MUNICIPAL PARTNERS INC.
January 25, 1991 - March 5, 1991
MINT BROKERS
October 22, 1984 - January 25, 1991
CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.
June 9, 1982 - August 26, 1985
J.J. KENNY DRAKE, INC.
July 20, 1981 - May 11, 1982
HARTFIELD, TITUS & DONNELLY, LLC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
