Tammy R. Engle
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.
Tammy Rae Engle, who also goes by Tammy Rae Waterman, was a registered financial professional .
Tammy is a previously registered financial professional and started their career in finance in 1986. Tammy had worked at 10 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2021 - July 13, 2026
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
February 7, 2020 - April 16, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 5, 2016 - January 7, 2020
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
January 23, 2001 - December 31, 2015
NELNET CAPITAL LLC
February 8, 2000 - December 5, 2000
LPL FINANCIAL LLC
March 2, 1998 - March 9, 1998
RBC CAPITAL MARKETS, LLC
March 16, 1993 - March 2, 1998
DAIN RAUSCHER INCORPORATED
September 3, 1992 - January 28, 1993
WALL STREET ACCESS
February 20, 1990 - September 27, 1991
UBS FINANCIAL SERVICES INC.
September 8, 1988 - December 11, 1989
LEHMAN BROTHERS INC.
November 21, 1986 - August 17, 1988
KFS BD, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
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.
