Tamara S. Swain

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CRD#: 2395135

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.

Tamara Sue Swain, who also goes by Tamara Sue Plunk, was a registered financial professional .

Tamara is a previously registered financial professional and started their career in finance in 1993. Tamara had worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tamara Sue Plunk

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 5, 2008 - February 3, 2020

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

COLLIERVILLE, TN

Past

July 18, 1996 - January 18, 2008

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

COLLIERVILLE, TN

Past

November 19, 1993 - March 28, 1996

AMERISTAR CAPITAL MARKETS, INC.

CRD#: 17068

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST HORIZON ADVISORS, INC.

CRD#: 17117 / SEC#: 801-78594, 8-35061

RIA

Registered Investment Advisory firm - SEC (5/31/2013 Approved)

Arizona

Registered Investment Advisory firm - SEC (5/28/2004 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (5/25/2004 Terminated)

California

Registered Investment Advisory firm - SEC (6/15/2004 Terminated)

Delaware

Registered Investment Advisory firm - SEC (5/28/2004 Terminated)

Georgia

Registered Investment Advisory firm - SEC (5/28/2004 Terminated)

Maryland

Registered Investment Advisory firm - SEC (7/13/2004 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/28/2004 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (3/29/2007 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/24/2004 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (7/12/2004 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (8/14/2004 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/15/2004 Terminated)

Virginia

Registered Investment Advisory firm - SEC (7/22/2004 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/29/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/28/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/18/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FIRST HORIZON ADVISORS, INC.

CRD#: 17117 / SEC#: 801-78594, 8-35061

RIA

Registered Investment Advisory firm - SEC (5/31/2013 Approved)

Arizona

Registered Investment Advisory firm - SEC (5/28/2004 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (5/25/2004 Terminated)

California

Registered Investment Advisory firm - SEC (6/15/2004 Terminated)

Delaware

Registered Investment Advisory firm - SEC (5/28/2004 Terminated)

Georgia

Registered Investment Advisory firm - SEC (5/28/2004 Terminated)

Maryland

Registered Investment Advisory firm - SEC (7/13/2004 Terminated)

Missouri

Registered Investment Advisory firm - SEC (5/28/2004 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (3/29/2007 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/24/2004 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (7/12/2004 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (8/14/2004 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/15/2004 Terminated)

Virginia

Registered Investment Advisory firm - SEC (7/22/2004 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/29/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

165 Madison Avenue 3rd Floor, Memphis, TN 38117

Mailing Address

165 Madison Avenue 14th Floor, Memphis, TN 38103

Phone number

(901) 818-6000

Established

Tennessee since 10/24/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

239

SEC notice filing (40 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRST HORIZON ADVISORS, INC. PART 2A BROCHURE (3/24/2025)

FIRST HORIZON ADVISORS, INC. WRAP FEE PROGRAM BROCHURE (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
FIRST HORIZON BANK	SOLE SHAREHOLDER
KRUSE, KAREN MORTON	CHIEF COMPLIANCE OFFICER	2862059
KRUSE, KAREN MORTON	PRESIDENT	2862059
SMITH, CAROL ANNETTE	FINOP	6421113

Regulatory assets under management

Total Number of Accounts	9,076
AUM (Assets Under Management)	$ 13,617,534,771

Disclosures

Regulatory Event	7
Arbitration	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/15/2025	Cover Page	Report
08/16/2024	Cover Page	Report
12/21/2023	Cover Page	Report

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.

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Firm Stability Insights

Tamara S. Swain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST HORIZON ADVISORS, INC.

AMERISTAR CAPITAL MARKETS, INC.

Primary Firm SEC Registration

FIRST HORIZON ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/28/1993

SIE

Date: 10/1/2018

Series 6

Date: 11/18/1993

Current Firm

FIRST HORIZON ADVISORS, INC.

Contact information

SEC notice filing (40 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

FIRST HORIZON ADVISORS, INC.

TRUST BUT VERIFY

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