Tami L. Carley
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.
Tami Lee Carley, who also goes by Tami L Marshall, Tami Lee Misiak, Tami Misiak, Tammie Lee Marshall, Tami Lee Misiak, Tami L Norman, Tami Lee Norman, Tami Lee Norman, was a registered financial professional .
Tami is a previously registered financial professional and started their career in finance in 2009. Tami had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2021 - April 6, 2026
ALLIANZ LIFE FINANCIAL SERVICES, LLC
May 31, 2018 - April 16, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
July 26, 2017 - April 16, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
November 14, 2012 - June 6, 2017
RBC CAPITAL MARKETS, LLC
December 8, 2009 - May 14, 2012
RIVERSOURCE DISTRIBUTORS, INC.
February 4, 2009 - December 11, 2009
WOODBURY FINANCIAL SERVICES, 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
Exams
Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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