Tamara E. Gifford
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 E Gifford, who also goes by Tamara Elizabeth Gifford, Tamara Elizabeth O'brien, Tamara Elizabeth Obrien, was a registered financial professional .
Tamara is a previously registered financial professional and started their career in finance in 1994. Tamara had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
November 23, 2010 - May 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 16, 2010 - May 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 16, 2009 - October 19, 2010
EDWARD JONES
June 15, 2009 - October 19, 2010
EDWARD JONES
October 16, 2006 - May 21, 2009
LPL FINANCIAL LLC
October 13, 2006 - May 21, 2009
LPL FINANCIAL LLC
October 20, 2004 - June 20, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - June 20, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 30, 2003 - October 20, 2004
QUICK & REILLY, INC.
September 25, 2000 - October 20, 2004
QUICK & REILLY, INC.
January 2, 1997 - September 25, 2000
FIS SECURITIES, INC.
August 15, 1996 - December 31, 1996
CONSECO SECURITIES, INC.
August 9, 1995 - August 2, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 1994 - July 25, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 7, 1994 - July 25, 1995
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
