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Lindsey Anne Prokay

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Information

Other Names: Lindsey Anne Ostby, Lindsey Knapp Spafford
Firm:
Type: Registered Representative
Description

Lindsey Prokay is a financial professional at Tiaa-Cref Advice and Planning Services, a broker-dealer with over 3,950 registered representatives nationwide. Lindsey has held an industry securities registration for 5 years and is subject to FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
TIAA 4 months May 2015 - Present
Tiaa-Cref Individual & Institutional Services, LLC 4 months May 2015 - Present
Christ The King Church 1 month, 4 weeks Feb 2013 - Apr 2013
The 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
Coldwell Banker Hickok & Boardman Realty 4 months May 2005 - Sep 2005
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 12/11/2009
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

Regulator
License Status
Not registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
06/30/2015
07/13/2015
*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
  • Other: COMPENSATION FROM AFFILIATES