Tami L. Carley
Professional summary
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, is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.
Tami is registered as a RR (Registered Representative) and started their career in finance in 2009. Tami has 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) - BD
Click below to view Tami Lee Carley's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 23, 2021 - Present
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416May 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
(4/23/2021)
Exams
FINRA
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 FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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