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Tami C. Moore

FIDELITY BROKERAGE SERVICES LLC
Smithfield, RI 02917
Some features on this profile are disabled
CRD#: 2479173
TM

Professional summary

Tami C. Moore, who also goes by Tami Catherine Epstein, Tami Catherine Epstein-moore, Tami Catherine Moore, Tami Moore, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.

Tami is registered as a RR (Registered Representative) and started their career in finance in 1994. Tami has worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tami Catherine Epstein | Tami Catherine Epstein-Moore | Tami Catherine Moore | Tami Moore

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) - BD

Click below to view Tami C. Moore's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 19, 2025 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 900 Salem Street, Smithfield, RI 02917
BD
CRD#: 7784
Smithfield, RI
Past

May 19, 2021 - June 26, 2024

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SALT LAKE CITY, UT
Past

March 14, 2019 - July 26, 2019

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
EL SEGUNDO, CA
Past

March 14, 2019 - July 26, 2019

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
EL SEGUNDO, CA
Past

February 22, 2019 - July 26, 2019

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
EL SEGUNDO, CA
Past

February 22, 2019 - July 26, 2019

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
EL SEGUNDO, CA
Past

February 22, 2019 - July 26, 2019

CETERA ADVISORS LLC

BD
CRD#: 10299
EL SEGUNDO, CA
Past

March 15, 2017 - July 26, 2019

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

December 4, 2014 - January 13, 2015

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
El Segundo, CA
Past

January 1, 2013 - January 28, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
IRVINE, CA
Past

April 26, 2011 - May 27, 2011

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
CHINO, CA
Past

May 2, 2009 - May 15, 2009

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
IRVINE, CA
Past

June 23, 1999 - May 2, 2009

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

May 28, 1999 - June 16, 1999

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

May 10, 1995 - March 19, 1998

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

May 26, 1994 - October 13, 1994

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(12/23/2025)
RR
Alaska
(1/2/2026)
RR
Arizona
(12/26/2025)
RR
Arkansas
(12/23/2025)
RR
California
(12/19/2025)
RR
Colorado
(12/23/2025)
RR
Connecticut
(12/24/2025)
RR
Delaware
(12/23/2025)
RR
District of Columbia
(12/24/2025)
RR
Florida
(12/24/2025)
RR
Georgia
(12/24/2025)
RR
Hawaii
(12/26/2025)
RR
Idaho
(12/23/2025)
RR
Illinois
(1/2/2026)
RR
Indiana
(1/12/2026)
RR
Iowa
(12/26/2025)
RR
Kansas
(12/23/2025)
RR
Kentucky
(1/5/2026)
RR
Louisiana
(12/23/2025)
RR
Maine
(12/23/2025)
RR
Maryland
(12/23/2025)
RR
Massachusetts
(12/24/2025)
RR
Michigan
(12/26/2025)
RR
Minnesota
(12/24/2025)
RR
Mississippi
(1/9/2026)
RR
Missouri
(12/23/2025)
RR
Montana
(12/26/2025)
RR
Nebraska
(12/23/2025)
RR
Nevada
(12/24/2025)
RR
New Hampshire
(1/5/2026)
RR
New Jersey
(12/26/2025)
RR
New Mexico
(12/26/2025)
RR
New York
(12/23/2025)
RR
North Carolina
(1/2/2026)
RR
North Dakota
(1/7/2026)
RR
Ohio
(12/26/2025)
RR
Oklahoma
(1/5/2026)
RR
Oregon
(12/23/2025)
RR
Pennsylvania
(1/2/2026)
RR
Puerto Rico
(1/16/2026)
RR
Rhode Island
(12/24/2025)
RR
South Carolina
(12/23/2025)
RR
South Dakota
(12/23/2025)
RR
Tennessee
(12/26/2025)
RR
Texas
(12/23/2025)
RR
Utah
(12/24/2025)
RR
Vermont
(12/26/2025)
RR
Virgin Islands
(1/5/2026)
RR
Virginia
(12/24/2025)
RR
Washington
(12/23/2025)
RR
West Virginia
(1/6/2026)
RR
Wisconsin
(1/5/2026)
RR
Wyoming
(1/2/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 6/29/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/5/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/25/1994
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.

CRD#: 7784 / SEC#: , 8-23292

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER
BRANDNER, CLINT RYANCHIEF OPERATIONS OFFICER7209362
CENATIEMPO, PHILIP JHEAD OF STRATEGY, PLANNING & ADVICE4809405
DYER, JANET MARIECO - CHIEF COMPLIANCE OFFICER3186352
MASCIALINO, ROBERT RAYMONDPRESIDENT/CEO/DIRECTOR2078086
MCLAUGHLIN, KEVIN MICHAELCHIEF FINANCIAL OFFICER5392417
MERKEN, GAIL RACHELCHIEF COMPLIANCE OFFICER5546717
PETERSON, PAUL DAVIDHEAD OF INVESTMENT ADVISOR GROUP2387115
STURDY, CHARLES HANCOCKSECRETARY AND GENERAL COUNSEL

Disclosures

Regulatory Event23
Arbitration126

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.

Company Information

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784Smithfield, RI 02917

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