Tami L. Mathis
Professional summary
Tami Leigh Mathis, who also goes by Tami Leigh Mathis, Tami Leigh Pereira, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Jacksonville, Florida.
Tami is registered as a RR (Registered Representative) and started their career in finance in 1989. Tami has worked at 12 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tami Leigh Mathis's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 4601 Touchton Rd East, Bldg 400, Jacksonville, FL 32246September 16, 2021 - October 15, 2021
GRADIENT SECURITIES, LLC
September 19, 2012 - October 23, 2019
LPL FINANCIAL LLC
October 23, 2009 - July 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 8, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 2, 2007 - February 12, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 10, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
January 10, 2005 - December 13, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
January 14, 2004 - January 6, 2005
A. G. EDWARDS & SONS, INC.
January 14, 2004 - January 6, 2005
A. G. EDWARDS & SONS, INC.
August 27, 2003 - January 14, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 31, 2003 - September 9, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 2001 - September 9, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 1989 - August 31, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 26, 1989 - August 31, 1990
PRUCO SECURITIES, 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
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Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Jacksonville, FL 32246TRUST BUT VERIFY
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