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Tamara L. Brownfield

Some features on this profile are disabled
CRD#: 1522592
TB

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.

Tamara Lynn Brownfield, who also goes by Tamara Lynn Crotts, was a registered financial professional .

Tamara is a previously registered financial professional and started their career in finance in 1988. Tamara had worked at 2 firms and has passed the Series 99TO, SIE, Series 6 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tamara Lynn Crotts

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 21, 2005 - June 13, 2006

BRECEK & YOUNG ADVISORS, INC.

BD
CRD#: 40395
FOLSOM, CA
Past

June 8, 1988 - June 15, 2022

SECURITY DISTRIBUTORS

BD
CRD#: 3336
TOPEKA, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/6/1988
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/21/2001
Financial and Operations Principal Examination

Current Firm

B&
BRECEK & YOUNG ADVISORS, INC.
BRECEK & YOUNG ADVISORS, INC. | IRON POINT CAPITAL MANAGEMENT (IPCM) OR IRON POINT (IP) | IRON POINT CAPITAL MANAGEMENT

CRD#: 40395 / SEC#: 801-51940, 8-49022

BD
Terminated by SEC on 12/07/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 01/09/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE- 03/30/2012 (3/30/2012)
FORM ADV PART 2- 03/30/2012 (3/30/2012)

Direct owners and executive officers

NamePositionCRD#
SECURITIES AMERICA FINANCIAL CORPORATIONHOLDING COMPANY
DEWALD, TERRANCE SHAWNSENIOR VP, GENERAL COUNSEL, SECRETARY3173980
HEENEY, JAMES MICHEALSENIOR VP, SALES SUPERVISION AND OPERATIONS3019122
MCWHORTER, STEVEN FORDCEO, DIRECTOR2130681
MILLER, KEVIN JOSEPHCHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER4133001
NAGENGAST, JAMES DELWYNDIRECTOR2571451
PARSONS, GAYLE ELIZABETHVP, TREASURER, FINOP2824340
RANNEY, CHRISTOPHER JOHNPRESIDENT, DIRECTOR1708781
WERTHEIM, PAMELA JANINEDIRECTOR1311477

Disclosures

Regulatory Event5

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.

Company Information

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

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