Tammy C. Tam
Professional summary
Tammy Chaiwo Tam, who also goes by Tammy Tam, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in New York, New York.
Tammy is registered as a RR (Registered Representative) and started their career in finance in 1998. Tammy has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tammy Chaiwo Tam's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 12, 2022 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: One Madison Avenue, New York, NY 10010June 30, 2021 - August 23, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 28, 2020 - November 30, 2020
TEXTURE CAPITAL, INC.
September 16, 2020 - November 30, 2020
KAWA SECURITIES LLC
January 3, 2019 - July 12, 2019
EQUITYZEN SECURITIES LLC
April 19, 1999 - March 31, 2005
CHARLES SCHWAB & CO., INC.
July 9, 1998 - February 18, 1999
NATIONAL CLEARING CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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