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TW

Tammi M. Wortham

Some features on this profile are disabled
CRD#: 2721919
TW

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.

Tammi Manet Wortham, who also goes by Tammi Manet Gibbons, was a registered financial professional .

Tammi is a previously registered financial professional and started their career in finance in 1996. Tammi had worked at 3 firms and has passed the SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tammi Manet Gibbons

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 6, 2017 - July 13, 2018

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

November 12, 2012 - February 7, 2017

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
DRESHER, PA
Past

April 20, 2007 - August 9, 2012

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
HARTFORD, CT
Past

June 4, 1996 - March 1, 2007

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 7/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/3/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/2/2006
Investment Company Products/Variable Contracts Principal Examination

Current Firm

SL
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
MFS/SUN LIFE FINANCIAL DISTRIBUTORS, INC. | SUNCAN EQUITY SERVICES COMPANY | SUN LIFE OF CANADA (U.S.) DISTRIBUTORS, INC. | SUN LIFE FINANCIAL DISTRIBUTORS, INC. | SUN INVESTMENT SERVICES COMPANY

CRD#: 5496 / SEC#: , 8-16198

BD
Terminated by SEC on 10/01/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/06/1970
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC.100% SHAREHOLDER
DAVIS, SCOTTDIRECTOR
HAYNES, NEIL LEONARDDIRECTOR6405143
HEALY, DAVID JAMESPRESIDENT & DIRECTOR4103309
KALLAS, COLLEEN LOUISESECRETARY6910605
MURRAY, THOMAS JOSEPH JRCHIEF COMPLIANCE OFFICER1894655
WORMUTH, LAURA MANDOLINIFINANCIAL/OPERATIONS PRINCIPAL AND TREASURER6063656

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.

Company Information

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

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