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Timothy Duane Smeal

Sanctuary Securities, Inc.

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About Timothy Duane Smeal

Timothy Duane Smeal is a securities professional with over 20 years of experience in the financial services industry. Timothy has held principal roles with several firms, including HSBC Securities (USA) Inc. and BrokerageAmerica, LLC. Timothy is currently a Registered Representative with Sanctuary Securities, Inc. Timothy is a licensed Series 7, 24, 9, 10, 55, 63, 99TO, 57TO and SIE.

Firm Information

Timothy Smeal is currently registered with Sanctuary Securities, Inc.. Sanctuary Securities, Inc. is a corporation formed on March 7, 1978, and is registered in all 50 states, as well as Puerto Rico and the District of Columbia. The firm has a history of regulatory events, with 19 disclosures related to such events, and has been involved in 9 arbitrations and 1 bond disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

64

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Timothy Smeal’s Registration & Firm History

IN

08/16/2021 - Present

Sanctuary Securities, Inc. (INDIANAPOLIS IN)

NY

01/01/2005 - 11/21/2019

HSBC SECURITIES (USA) INC. (DEPEW NY)

NY

09/08/2004 - 01/01/2005

HSBC BROKERAGE (USA) INC. (NEW YORK NY)

NY

04/15/2002 - 02/13/2004

BROKERAGEAMERICA, LLC (NEW YORK NY)

NY

02/11/2002 - 04/15/2002

BROKERAGEAMERICA, INC (NE W YORK NY)

NE

12/11/2000 - 12/21/2001

NEBRASKA HUDSON COMPANY, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 03/19/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/11/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/27/2004

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/30/2001

Series 4 - Registered Options Principal Examination

BC

Issued 07/09/2001

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/13/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/08/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Timothy Duane Smeal.
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