Tammy L. Mccadden
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 Lynn Mccadden, who also goes by Tammy Lynn Boone, Tammy Boone, Tammy Lynn Fagan, was a registered financial professional .
Tammy is a previously registered financial professional and started their career in finance in 1991. Tammy had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2022 - September 5, 2025
SORRENTO PACIFIC FINANCIAL, LLC
June 8, 2022 - September 5, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
June 8, 2022 - September 5, 2025
SCF SECURITIES, INC.
June 8, 2022 - September 5, 2025
CUSO FINANCIAL SERVICES, L.P.
June 8, 2022 - September 5, 2025
CADARET, GRANT & CO., INC.
December 23, 2010 - September 5, 2025
NEXT FINANCIAL GROUP, INC.
December 15, 2010 - September 5, 2025
NEXT FINANCIAL GROUP, INC.
May 26, 2009 - November 12, 2010
UBS FINANCIAL SERVICES INC.
March 31, 2008 - November 12, 2010
UBS FINANCIAL SERVICES INC.
February 21, 2006 - March 27, 2008
CITIGROUP GLOBAL MARKETS INC.
July 20, 2000 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
August 6, 1991 - July 10, 2000
PRUDENTIAL EQUITY GROUP, LLC
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 ExaminationSeries 8
Date: 6/29/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
