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Lindsey Anne Prokay

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Other Names: Lindsey Anne Ostby, Lindsey Knapp Spafford
Type: SEC and FINRA Registered

Lindsey Prokay is a financial professional at Tiaa-Cref Advice and Planning Services, a broker-dealer with over 4,000 registered representatives nationwide. Lindsey has held an industry securities registration for 5 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
TIAA 5 months May 2015 - Present
Tiaa-Cref Advice and Planning Services 5 months May 2015 - Present
Christ The King Church 1 month, 4 weeks Feb 2013 - Apr 2013
Vanguard Group Inc 3 years, 2 months Mar 2012 - May 2015
Edward Jones 2 years, 5 months Oct 2009 - Mar 2012
Wachovia Corporate Mortgage 1 year, 7 months Mar 2008 - Oct 2009
Antonios Pizza and Pasta 4 months Oct 2007 - Feb 2008
Looking for Employment 4 months Jun 2007 - Oct 2007
Quantum Securities 1 year, 5 months Dec 2005 - May 2007
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 09/22/2015
General Securities Representative ExaminationSeries 7 11/30/2009

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

Lindsey Anne Prokay has not answered any questions on Financial Q&A.

Top Articles

Lindsey Anne Prokay has not contributed any Financial Articles.
*Answers and articles are provided without compensation.

Firm Client Types

High Net Worth Individuals
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets