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Timothy Smith

Raymond James & Associates, Inc.

Saratoga Springs, NY

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-11-27
  • NY RA
    APPROVED
    Since 2024-11-27

Branch Locations

321 Broadway Ave Suite 501, Saratoga Springs, NY 12866 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Ayco Company, L.P./Mercer Allied Latham NY 09/2012 08/2019
The Ayco Company, L.P./Goldman Sahcs & Co Latham NY 07/2003 08/2019
Rockefeller Financial Llc Saratoga Springs NY 08/2019 06/2021
Rock & Co Llc Saratoga Springs NY 08/2019 06/2021
Goldman Sachs & Co Cohoes NY 06/2021 11/2024
Raymond James & Associates, Inc. Saratoga Springs NY 11/2024 Present
  • 09/2012 → 08/2019
    The Ayco Company, L.P./Mercer Allied
    Latham, NY
  • 07/2003 → 08/2019
    The Ayco Company, L.P./Goldman Sahcs & Co
    Latham, NY
  • 08/2019 → 06/2021
    Rockefeller Financial Llc
    Saratoga Springs, NY
  • 08/2019 → 06/2021
    Rock & Co Llc
    Saratoga Springs, NY
  • 06/2021 → 11/2024
    Goldman Sachs & Co
    Cohoes, NY
  • 11/2024 → Present
    Raymond James & Associates, Inc.
    Saratoga Springs, NY
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-10-02
  • S63 Uniform Securities Agent State Law Examination
    2002-10-02
Other Names
  • Timothy Smith
  • Timothy C Smith

View on SEC IAPD

Other Firms

SARATOGA INVESTMENT SOLUTIONS INC.
COMMONWEALTH FINANCIAL NETWORK
JANNEY MONTGOMERY SCOTT LLC
CONTINUUM WEALTH ADVISORS, LLC
STERLING MANOR FINANCIAL, LLC
NYE STREET PARTNERS LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LPL FINANCIAL LLC

Other Investors

CYNTHIA ELIZABETH ZALEWSKY
BONNIE MARIE BOYCE
JEFFREY CHARLES VAHANIAN
CAMERON VICTORIA CORSI
Cory Matthew Larmour
ALAN JAY BOGATCH
JESSICA SUZANNE NILES
STEPHEN EDWARD KRAKOWER

Other Offices

SARATOGA INVESTMENT SOLUTIONS INC. · SARATOGA SPRINGS, NY
COMMONWEALTH FINANCIAL NETWORK · Saratoga Springs, NY
JANNEY MONTGOMERY SCOTT LLC · SARATOGA SPRINGS, NY
CONTINUUM WEALTH ADVISORS, LLC · SARATOGA SPRINGS, NY
STERLING MANOR FINANCIAL, LLC · SARATOGA SPRINGS, NY
NYE STREET PARTNERS LLC · SARATOGA SPRINGS, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SARATOGA SPRINGS, NY
LPL FINANCIAL LLC · SARATOGA SPRINGS, NY

More in Saratoga Springs, NY

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