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Timothy Patick Rafferty

Raymond James & Associates, Inc.

Little Rock, AR

Little Rock, AR

CRD 4790961

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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-02-25
AR RA APPROVED 2019-02-15
  • TX RA
    APPROVED_RES
    Since 2019-02-25
  • AR RA
    APPROVED
    Since 2019-02-15

Branch Locations

Little Rock, AR • United States

12921 Cantrell Road Suite 400, Little Rock, AR 72223 • 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
Simmons First Investment Group, Inc Little Rock AR 04/2009 02/2019
Raymond James & Associates, Inc. Little Rock AR 02/2019 Present
Previous Registrations
  • 2009-04-27 → 2019-02-19
    Simmons First Investment Group, Inc.
    Little Rock, AR
    Little Rock, AR
    No Little Rock, AR
  • 2014-12-17 → 2015-09-02
    Simmons First Capital Management, Inc.
    Little Rock, AR
    Little Rock, AR
    Little Rock, AR
  • 2007-04-02 → 2009-04-13
    Morgan Stanley & Co. Llc
    Little Rock, AR
  • 2007-02-09 → 2007-04-02
    Morgan Stanley Dw Inc.
    Little Rock, AR
  • 2004-08-03 → 2006-11-21
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Little Rock, AR
    Little Rock, AR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-02
  • S66 Uniform Combined State Law Examination
    2004-08-02
Other Names
  • Timothy Rafferty
  • Timothy Patrick Rafferty

View on SEC IAPD

Nearby Firms

EDWARD JONES
ARVEST WEALTH MANAGEMENT
STATE FARM INVESTMENT MANAGEMENT CORP.

Nearby Investors

Thomas Milton Howard
Ammie Thompson
Chera Kaye Moore

Nearby Offices

EDWARD JONES · LITTLE ROCK, AR
ARVEST WEALTH MANAGEMENT · LITTLE ROCK, AR
STATE FARM INVESTMENT MANAGEMENT CORP. · Little Rock, AR

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