Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tamie? Claim Your ProfileTamie R. Austin is a financial advisor with over 37 years of experience in the securities industry. Tamie is currently registered with Stifel, Nicolaus & Company, Inc. and has previously been registered with Morgan Stanley, Citigroup Global Markets Inc., Morgan Stanley DW Inc., Salomon Smith Barney Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Tamie provides financial planning, portfolio management, and pension consulting services to individuals, businesses, and institutions.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
01/13/2020 - Present
Stifel, Nicolaus & Company, Inc. (WESTLAKE VILLAGE CA)
CA
06/01/2009 - 11/19/2012
MORGAN STANLEY (WESTLAKE VILLAGE CA)
CA
10/04/2002 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MODESTO CA)
NY
04/03/1985 - 10/14/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
12/18/2001 - 12/18/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NA
11/21/1984 - 10/04/1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 03/14/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/16/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/1994
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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