Tain P. Tompkins
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.
Tain Pendleton Tompkins was a registered financial professional .
Tain is a previously registered financial professional and started their career in finance in 1998. Tain had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2014 - October 7, 2015
PENDLETON INVESTMENTS
April 30, 2004 - March 24, 2014
PENDLETON INVESTMENTS
August 13, 2001 - November 29, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
December 24, 1998 - September 8, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
December 24, 1998 - July 26, 2001
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PENDLETON INVESTMENTS
CRD#: 116053 / SEC#:
Contact information
Red Flags
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