Tamara B. Wendoll
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 Beth Wendoll, who also goes by Tamara Beth Heiman, Tammy Heiman, was a registered financial professional .
Tamara is a previously registered financial professional and started their career in finance in 1995. Tamara had worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4 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
October 9, 2008 - December 21, 2021
DUNHAM
October 9, 2008 - December 21, 2021
DUNHAM
March 24, 1999 - August 18, 2008
KELMOORE INVESTMENT COMPANY, INC.
March 13, 1999 - August 18, 2008
KELMOORE INVESTMENT COMPANY, INC.
September 1, 1997 - February 26, 1999
JOSEPHTHAL & CO., INC.
March 28, 1995 - March 11, 1999
FIRST ALLIED SECURITIES, INC.
Primary Firm SEC Registration
DUNHAM
CRD#: 13162 / SEC#: 801-25803, 8-28527
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
DUNHAM
CRD#: 13162 / SEC#: 801-25803, 8-28527
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DUNHAM & ASSOCIATES HOLDINGS, INC. | SHAREHOLDER | |
| BOISCH, HELMUT | CHIEF OPERATIONS OFFICER | 5371920 |
| CAPIZZI, SALVATORE MICHAEL | CHIEF SALES AND MARKETING OFFICER | 1037757 |
| DUNHAM, JEFFREY ALAN | CHIEF EXECUTIVE OFFICER | 1149167 |
| DYKMANS, RYAN JOHN | PRESIDENT AND CHIEF INVESTMENT OFFICER | 4847419 |
| GARDYNE, JENNIFER KIM | CHIEF FINANCIAL OFFICER | 8188759 |
| PALERMO, VIKTORIA IRENA | CHIEF COMPLIANCE OFFICER | 4769903 |
Regulatory assets under management
| Total Number of Accounts | 12,032 |
| AUM (Assets Under Management) | $ 4,737,607,372 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2025 | ||
| 10/23/2024 | ||
| 07/26/2023 |
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.
