Tammy T. Wardemann
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.
Tammy Thomas Wardemann, CFP®, who also goes by Tammy Thomas Boseman, Tammy Lynn Thomas, was a registered financial professional .
Tammy is a previously registered financial professional and started their career in finance in 1994. Tammy had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2012 - October 16, 2017
FIFTH THIRD SECURITIES, INC.
February 23, 2012 - October 16, 2017
FIFTH THIRD SECURITIES, INC.
October 14, 2009 - February 28, 2012
ASSOCIATED INVESTMENT SERVICES, INC.
June 23, 2009 - February 28, 2012
ASSOCIATED INVESTMENT SERVICES, INC.
June 15, 2006 - March 5, 2009
CIC ADVISERS, LLC
June 9, 2006 - March 5, 2009
CAPITAL INVESTMENT GROUP, INC.
May 6, 2004 - June 19, 2006
A. G. EDWARDS & SONS, INC.
June 8, 2001 - June 19, 2006
A. G. EDWARDS & SONS, INC.
February 25, 1998 - June 13, 2001
WALNUT STREET SECURITIES, INC.
January 24, 1997 - March 6, 1998
WORKMAN SECURITIES CORPORATION
January 24, 1996 - December 31, 1996
BANNER FINANCIAL SERVICES GROUP
June 13, 1995 - April 4, 1996
CAPITAL INVESTMENT GROUP, INC.
September 26, 1994 - June 21, 1995
WOODBURY FINANCIAL SERVICES, INC.
September 12, 1994 - September 27, 1994
CAPITAL INVESTMENT GROUP, INC.
Primary Firm SEC Registration
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
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
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | 2512810 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory assets under management
| Total Number of Accounts | 43,067 |
| AUM (Assets Under Management) | $ 9,127,646,064 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 19 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 08/26/2024 | ||
| 10/20/2023 |
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.
