Tammi A. Lauder
Professional summary
Tammi A Lauder, who also goes by Tammi Anne Brown, Tammi A Laudee, Tammi Anne Woolf, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Stamford, Connecticut and ROCKEFELLER CAPITAL MANAGEMENT located in Stamford, Connecticut.
Tammi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Tammi has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Tammi A Lauder's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tammi A Lauder's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902March 7, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902April 1, 2022 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902December 15, 2017 - April 7, 2022
DOMINARI SECURITIES LLC
December 15, 2017 - April 7, 2022
DOMINARI SECURITIES LLC
March 21, 2016 - December 21, 2017
J.P. MORGAN SECURITIES LLC
August 27, 2010 - December 21, 2017
J.P. MORGAN SECURITIES LLC
June 1, 2009 - September 21, 2010
MORGAN STANLEY
March 1, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 24, 1984 - March 2, 1993
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
