Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tami? Claim Your ProfileTami Mathis has been in the financial services industry since February 17, 2005. Tami is currently registered with Fidelity Brokerage Services LLC and previously held registrations with Gradient Securities, LLC, LPL Financial LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Investment Services, Inc., TIAA-CREF Individual & Institutional Services, LLC, Ameriprise Financial Services, Inc., IDS Life Insurance Company, A. G. Edwards & Sons, Inc., Raymond James Financial Services, Inc., and The Prudential Insurance Company of America. Tami is licensed to sell securities in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. Tami holds Series 6, 7, 9, 63, 65 and SIE licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
TX
01/06/2023 - Present
Fidelity Brokerage Services LLC (WESTLAKE TX)
NC
09/16/2021 - 10/15/2021
GRADIENT SECURITIES, LLC (Huntersville NC)
NC
09/19/2012 - 10/23/2019
LPL FINANCIAL LLC (DAVIDSON NC)
NC
10/23/2009 - 07/03/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
08/20/2009 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
10/08/2008 - 03/18/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NC
02/02/2007 - 02/12/2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
NC
01/10/2005 - 12/13/2006
AMERIPRISE FINANCIAL SERVICES, INC. (CORNELIUS NC)
MN
01/10/2005 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MO
01/14/2004 - 01/06/2005
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
FL
08/27/2003 - 01/14/2004
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
NY
12/07/2001 - 09/09/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
04/26/1989 - 08/31/1990
PRUCO SECURITIES CORPORATION
NA
04/26/1989 - 08/31/1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
IA
Issued 12/16/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/05/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/18/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2001
Series 7 - General Securities Representative Examination
BC
Issued 04/25/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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