Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tammy? Claim Your ProfileTammy Kaplan is a financial advisor with Fidelity Personal and Workplace Advisors. Tammy has been in the financial industry since 2004. Tammy holds a number of industry licenses and certifications, including Series 7, Series 9, Series 10, Series 63, and Series 66. Previously, Tammy was a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Tammy provides financial planning, portfolio management for businesses and individuals, and educational seminars to clients.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NJ
12/20/2024 - Present
Fidelity Personal AND Workplace Advisors (ROBBINSVILLE NJ)
NJ
03/17/2015 - 12/04/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PRINCETON NJ)
AZ
09/23/2010 - 09/01/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHANDLER AZ)
NJ
03/23/2006 - 01/15/2009
CHASE INVESTMENT SERVICES CORP. (PRINCETON NJ)
NY
01/01/1999 - 09/28/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/02/2001 - 12/11/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 05/04/2015
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/25/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/30/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/09/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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