Timothy T. Stockton
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 Thomas Stockton was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1979. Timothy had worked at 6 firms and has passed the Series 63, Series 15, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 1988 - December 5, 1988
TRADEMARK INVESTMENT SERVICES, INC.
November 23, 1987 - March 22, 1988
TRADEMARK INVESTMENT SERVICES, INC.
August 12, 1985 - May 1, 1987
MORGAN STANLEY DW INC.
October 25, 1984 - August 19, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
September 7, 1983 - October 19, 1984
PRUDENTIAL EQUITY GROUP, LLC
March 13, 1981 - March 26, 1981
CITIGROUP GLOBAL MARKETS INC.
August 24, 1979 - November 24, 1982
E. F. HUTTON & COMPANY INC
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
Series 15
Date: 12/2/1983
Foreign Currency Options ExaminationSeries 5
Date: 9/30/1983
Interest Rate Options ExaminationSeries 8
Date: 9/29/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRADEMARK INVESTMENT SERVICES, INC.
CRD#: 16802 / SEC#: , 8-34545
Contact information
Documents
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.
