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Tammy Chaiwo Tam

Franklin Distributors, LLC

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About Tammy Chaiwo Tam

Tammy Tam has been in the financial industry since 2014 and is currently a Registered Representative with Franklin Distributors, LLC. Tammy's career has taken her from Charles Schwab & Co., Inc., where she was a Registered Representative from 1999 to 2005, to Prudential Investment Management Services LLC. Tammy holds a Series 7, Series 63, Series 9, Series 10, Series 24, and SIE license.

Firm Information

Tammy Tam is currently registered with Franklin Distributors, LLC. Franklin Distributors, LLC is a Limited Liability Company formed in December 2000. It is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

369

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Tammy Tam’s Registration & Firm History

NY

08/12/2022 - Present

Franklin Distributors, LLC (New York NY)

NJ

06/30/2021 - 08/23/2022

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

NY

09/28/2020 - 11/30/2020

TEXTURE CAPITAL, INC. (BROOKLYN NY)

FL

09/16/2020 - 11/30/2020

KAWA SECURITIES LLC (Aventura FL)

NY

01/03/2019 - 07/12/2019

EQUITYZEN SECURITIES LLC (NEW YORK NY)

TX

04/19/1999 - 03/31/2005

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

CA

07/09/1998 - 02/18/1999

J.B. OXFORD & COMPANY (SHERMAN OAKS CA)

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Licenses & Designations

BC

Issued 07/17/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/02/2019

Series 24 - General Securities Principal Examination

BC

Issued 12/21/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 09/27/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/21/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/08/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tammy Chaiwo Tam.
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