Tammy M. Webb

ARETE WEALTH MANAGEMENT

Brewster, NY 10509

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CRD#: 2599145

Professional summary

Tammy Marie Webb, who also goes by Tammy M Webb, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Brewster, New York.

Tammy is registered as a RR (Registered Representative) and started their career in finance in 2007. Tammy has worked at 6 firms and has passed the Series 63, Series 66, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tammy M Webb

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 Tammy Marie Webb'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

July 21, 2022 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 1663 Route 22, Brewster, NY 10509

CRD#: 44856

Brewster, NY

Past

January 25, 2021 - July 19, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEW YORK, NY

Past

November 22, 2013 - November 25, 2020

NATIONAL SECURITIES CORPORATION

CRD#: 7569

POUGHKEEPSIE, NY

Past

February 4, 2013 - November 22, 2013

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

June 1, 2009 - April 5, 2012

MORGAN STANLEY

CRD#: 149777

POUGHKEEPSIE, NY

Past

May 5, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

POUGHKEEPSIE, NY

Past

June 25, 2007 - May 27, 2008

OSAIC INSTITUTIONS, INC.

CRD#: 35371

RIDGEFIELD, CT

State Registrations and Notice Filings

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

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

New York
(7/21/2022)

Exams

State Security Law Exam

Series 63

Date: 5/3/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/22/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/24/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ARETE WEALTH MANAGEMENT, LLC

ARETE WEALTH MANAGEMENT, LLC | KEYSTONE SECURITIES, LLC. | KEYSTONE SECURITIES, LLC | KEYSTONE INVESTMENT ADVISORS, LLC

CRD#: 44856 / SEC#: , 8-50854

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1115 W Fulton Market 3rd Floor, Chicago, IL 60607

Mailing Address

1115 W Fulton Market 3rd Floor, Chicago, IL 60607

Phone number

(312) 940-3684

Established

Illinois since 01/20/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ARETE WEALTH INC	DIRECT OWNER
BULLA, CHRISTIAN ALEXANDER	MUNICIPAL SECURITIES PRINCIPAL	7067640
CHUNG, UNBO	CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER	6208569
HOCK, DAVID CARL	CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP)	2246268
RAYNER, MICAH HARDING	REGISTERED OPTIONS PRINCIPAL	6252596
ROGERS, JOSHUA DEAN	CHIEF EXECUTIVE OFFICER	3163818

Disclosures

Regulatory Event	2
Civil Event	1
Arbitration	3

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.

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Advisor Monitoring

Firm Stability Insights

Tammy M. Webb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tammy Marie Webb's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL SECURITIES CORPORATION

NATIONAL SECURITIES CORPORATION

PRIME CAPITAL SERVICES, INC.

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

OSAIC INSTITUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/3/2013

Series 66

Date: 1/22/2008

SIE

Date: 10/1/2018

Series 6

Date: 6/24/2007

FINRA

Current Firm

ARETE WEALTH MANAGEMENT, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ARETE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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