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Timothy S Duffy

Raymond James & Associates, Inc.

Newport Beach, CA

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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-08-01
  • CA RA
    APPROVED
    Since 2025-08-01

Branch Locations

620 Newport Center Drive Suite 1450, Newport Beach, CA 92660 • 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
Raymond James & Associates Inc. Newport Beach CA 05/2024 04/2025
Raymond James & Associates Inc. Newport Beach CA 04/2025 Present
Guaranteed Rate, Inc Mission Viejo CA 08/2015 05/2024
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-07-29
  • S66 Uniform Combined State Law Examination
    2025-07-29
Other Names
  • Tim Duffy

View on SEC IAPD

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OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
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PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
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J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
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