Tamie L. Locke
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.
Tamie Louise Locke, who also goes by Tammie Louise Gannon, was a registered financial professional .
Tamie is a previously registered financial professional and started their career in finance in 1999. Tamie had worked at 8 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2020 - November 7, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 6, 2020 - November 7, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 1, 2019 - April 21, 2025
RAYMOND JAMES & ASSOCIATES, INC.
July 31, 2019 - April 21, 2025
RAYMOND JAMES & ASSOCIATES, INC.
March 23, 2017 - July 23, 2019
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
March 21, 2017 - April 17, 2019
G.F. INVESTMENT SERVICES, LLC
April 7, 2014 - July 17, 2015
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
March 17, 2014 - July 17, 2015
G.F. INVESTMENT SERVICES, LLC
June 11, 2013 - August 5, 2013
GIRARD SECURITIES, INC.
June 11, 2013 - August 5, 2013
GIRARD SECURITIES, INC.
May 31, 2011 - June 29, 2011
GIRARD SECURITIES, INC.
March 29, 2011 - June 29, 2011
GIRARD SECURITIES, INC.
March 9, 2007 - April 13, 2009
TRIAD ADVISORS LLC
May 14, 2001 - June 11, 2001
NEXTRADE
February 23, 1999 - May 17, 1999
RAYMOND JAMES & ASSOCIATES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 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.
