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Tammy Ridley Roden

Cetera Investment Services LLC

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About Tammy Ridley Roden

Tammy Ridley Roden is a financial advisor who has been in the industry since 2000. Tammy is currently registered with Cetera Investment Services LLC and is based in Hoover, Alabama. Tammy has a wide range of experience in the financial services industry, including experience with ProEquities, Inc., Sterne Agee Financial Services, Inc., SouthTrust Securities, Inc., UBS PaineWebber Inc. and Morgan Keegan & Company, Inc. Tammy is licensed to sell securities in Alabama.

Firm Information

Tammy Roden is currently registered with Cetera Investment Services LLC. Cetera Investment Services LLC is a Limited Liability Company formed on November 30, 2012, and approved to operate in 53 states and the District of Columbia. The firm has 1 approved SEC registration and 53 approved state registrations. Cetera Investment Services LLC has a history of regulatory events (11 reported) and arbitration disclosures (3 reported).

Not reported

Assets Under Management

Not reported

Total Clients

372

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 Roden’s Registration & Firm History

AL

04/25/2017 - Present

Cetera Investment Services LLC (HOOVER AL)

AL

05/05/2006 - 09/20/2012

PROEQUITIES, INC. (BIRMINGHAM AL)

AL

08/17/2004 - 05/01/2006

STERNE AGEE FINANCIAL SERVICES, INC. (BIRMINGHAM AL)

AL

11/06/2001 - 08/19/2004

SOUTHTRUST SECURITIES, INC. (BIRMINGHAM AL)

NJ

11/28/2000 - 11/16/2001

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

TN

07/06/2000 - 11/28/2000

MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)

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Licenses & Designations

BC

Issued 09/28/2018

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 11/18/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/26/2004

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/11/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/05/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tammy Ridley Roden.
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