Deborah L. Tappan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Deborah Lynn Tappan, who also goes by Deborah Lynn Sybert, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1982. Deborah had worked at 15 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2013 - January 28, 2025
EAGLE STRATEGIES LLC
July 24, 2013 - January 28, 2025
NYLIFE SECURITIES LLC
April 26, 2011 - March 18, 2013
SPIRE WEALTH MANAGEMENT, LLC
April 25, 2011 - March 18, 2013
SPIRE SECURITIES, LLC
June 1, 2009 - May 13, 2010
MORGAN STANLEY
June 1, 2009 - May 13, 2010
MORGAN STANLEY
January 15, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 13, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 11, 2007 - July 28, 2008
NEUBERGER BERMAN BD LLC
May 18, 2007 - July 28, 2008
NEUBERGER BERMAN BD LLC
August 22, 2006 - April 2, 2007
CITIGROUP GLOBAL MARKETS INC.
August 8, 2006 - April 2, 2007
CITIGROUP GLOBAL MARKETS INC.
January 3, 2005 - August 1, 2006
TRUIST INVESTMENT SERVICES, INC.
January 13, 2004 - August 1, 2006
TRUIST INVESTMENT SERVICES, INC.
April 16, 2002 - January 7, 2004
MORGAN STANLEY DW INC.
February 23, 2000 - January 7, 2004
MORGAN STANLEY DW INC.
April 9, 1998 - February 16, 2000
A. G. EDWARDS & SONS, INC.
September 26, 1997 - March 25, 1998
MORGAN STANLEY DW INC.
October 22, 1996 - September 3, 1997
FIRST UNION CAPITAL MARKETS CORP.
September 15, 1995 - July 31, 1996
BOATMEN'S INVESTMENT SERVICES, INC.
March 29, 1994 - September 18, 1995
ROBERT THOMAS SECURITIES, INC
April 1, 1991 - March 31, 1994
CITIGROUP GLOBAL MARKETS INC.
March 13, 1990 - April 3, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 1989 - March 12, 1990
LEHMAN BROTHERS INC.
March 25, 1982 - February 5, 1986
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
