Peggy D. Tatem
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.
Peggy Dianne Tatem, who also goes by Peggy Dianne Warren, was a registered financial advisor .
Peggy is a previously registered financial advisor and started their career in finance in 1991. Peggy had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2010 - October 16, 2012
TRUIST INVESTMENT SERVICES, INC.
August 25, 2008 - October 16, 2012
TRUIST INVESTMENT SERVICES, INC.
October 24, 2005 - August 11, 2008
CETERA WEALTH SERVICES, LLC
May 3, 2004 - October 24, 2005
BLUE VASE SECURITIES, LLC
April 12, 2001 - May 13, 2004
MORGAN KEEGAN & COMPANY, LLC
April 12, 2001 - May 13, 2004
MORGAN KEEGAN & COMPANY, LLC
May 5, 1998 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
January 30, 1995 - March 12, 1998
ARGUS SECURITIES, INC.
July 19, 1993 - January 30, 1995
NATIONSSECURITIES
April 16, 1992 - July 20, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
March 26, 1992 - May 4, 1992
JOSEPHTHAL & CO., INC.
September 13, 1991 - March 12, 1992
J. W. GANT & ASSOCIATES, INC.
September 5, 1991 - September 26, 1991
CHATFIELD DEAN & CO., 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
Current Firm
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
