Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tawny? Claim Your ProfileTawny Stoffregen is an investment advisor representative and holds the Series 6, 7, 31, 63 and 65 securities licenses. Tawny is an active advisor in Iowa and Texas, registered with Morgan Stanley. Tawny has been in the securities industry for over 20 years, working for firms such as Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Advisors, LLC, and Citigroup Global Markets Inc. Tawny has experience with clients including individuals, high-net-worth individuals, trusts, corporations, pension and profit-sharing plans, charitable organizations, insurance companies, investment companies, and investment clubs.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IA
02/07/2014 - Present
Morgan Stanley (Davenport IA)
IA
02/22/2010 - 07/31/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DAVENPORT IA)
IA
03/04/2009 - 01/28/2010
WELLS FARGO ADVISORS, LLC (DAVENPORT IA)
IA
01/01/2007 - 06/12/2008
CITIGROUP GLOBAL MARKETS INC. (DAVENPORT IA)
NY
12/18/2000 - 06/20/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MI
08/16/2000 - 11/16/2000
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
IA
Issued 03/03/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/20/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 09/21/2000
Series 7 - General Securities Representative Examination
BC
Issued 08/15/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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