Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy Rafferty is a registered representative with Raymond James & Associates, Inc. located in Little Rock, Arkansas. Timothy has been working in the securities industry since 2004. Timothy holds a Series 7, Series 31, and Series 66 license. Timothy has also held previous positions at Simmons First Investment Group, Inc. and Morgan Stanley & Co. Incorporated.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AR
02/25/2019 - Present
Raymond James & Associates, Inc. (Little Rock AR)
AR
04/27/2009 - 02/19/2019
SIMMONS FIRST INVESTMENT GROUP, INC. (LITTLE ROCK AR)
AR
04/02/2007 - 04/13/2009
MORGAN STANLEY & CO. INCORPORATED (LITTLE ROCK AR)
AR
02/09/2007 - 04/02/2007
MORGAN STANLEY DW INC. (LITTLE ROCK AR)
AR
06/25/2004 - 11/21/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LITTLE ROCK AR)
BOTH
Issued 08/02/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 06/24/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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