Tammy L. King
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 Lynnette King, who also goes by Tammy Lynnette Wade King, Tammy Wade King, Tammy Lynnette Wade, was a registered financial professional .
Tammy is a previously registered financial professional and started their career in finance in 1988. Tammy had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 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
May 28, 2002 - November 28, 2006
SENTINEL FINANCIAL SERVICES COMPANY
February 2, 2000 - April 18, 2019
EQUITY SERVICES, INC.
February 5, 1993 - January 9, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 5, 1993 - January 9, 2000
OSAIC FA, INC.
March 11, 1991 - January 11, 1993
CARILLON INVESTMENTS, INC.
August 3, 1989 - January 25, 1991
USF&G INVESTMENT SERVICES, INC.
August 12, 1988 - August 5, 1989
FORESTERS FINANCIAL SERVICES, 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
SENTINEL FINANCIAL SERVICES COMPANY
CRD#: 31175 / SEC#: , 8-45393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENTINEL ASSET MANAGEMENT INC. | GENERAL PARTNER | |
| SENTINEL ADMINISTRATIVE SERVICES, INC | GENERAL PARTNER | |
| TEESE, GREGORY DWIGHT | VICE PRESIDENT, COMPLIANCE & CHIEF COMPLIANCE OFFICER | 2135269 |
Disclosures
| Regulatory Event | 1 |
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.
