Tammy J. Caress
Professional summary
Tammy Jill Caress, who also goes by Tammy Caress, Tammy Jill Edman, Tamara Zelman, Tammy Jill Zelman, Tammy Jill Zelman, is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in New York, New York.
Tammy is registered as a RR (Registered Representative) and started their career in finance in 1991. Tammy has worked at 6 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tammy Jill Caress's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 14, 2024 - Present
PAULSON INVESTMENT COMPANY LLC
Office #1: 40 Wall Street 39th Floor, New York, NY 10005February 7, 1999 - May 22, 2000
SCHONFELD SECURITIES, LLC
March 1, 1995 - November 10, 1998
BLUESTONE CAPITAL CORP.
October 8, 1993 - March 6, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 16, 1992 - October 7, 1993
UBS FINANCIAL SERVICES INC.
July 11, 1991 - March 27, 1992
LEHMAN BROTHERS 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
(12/3/2024)
(2/4/2025)
(1/8/2025)
(1/21/2025)
(2/5/2025)
(12/4/2024)
(12/5/2024)
(1/22/2025)
(2/20/2025)
(3/17/2025)
(1/13/2025)
(1/22/2025)
(1/6/2025)
(1/7/2025)
(11/4/2025)
(2/20/2025)
(3/20/2025)
(12/5/2024)
(11/19/2024)
(2/21/2025)
(6/10/2025)
(2/20/2025)
(3/5/2025)
(1/7/2025)
(12/3/2024)
(1/8/2025)
(1/6/2025)
(2/26/2025)
(1/7/2025)
Exams
Series 79TO
Date: 7/8/2025
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 11/14/2024
General Securities Representative ExaminationSeries 55
Date: 2/17/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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