Tammy M. Gomolla

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CRD#: 3205845

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.

Tammy Marie Gomolla, who also goes by Tammy Marie Moore, Tammy Moore, was a registered financial professional .

Tammy is a previously registered financial professional and started their career in finance in 1999. Tammy had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Biography

I partner with my clients to help them more confidently navigate evolving financial situations through joint planning and education. I assist in addressing unique priorities, concerns, and preferences that contribute towards defining personal success and help them to review investment and income strategies available to align with those goals. I have a sincere passion for helping my clients and value the collaborative relationships built throughout my years of experience.  

Question & Answer

Are you a "fiduciary"?

Aliases

Tammy Marie Moore | Tammy Moore

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

Education

University of Wisconsin - Milwaukee

Bachelor of Science (BS) - Finance

2017

Experience

Past

August 9, 2024 - November 18, 2025

BROADVIEW FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 143550

WAUWATOSA, WI

Past

July 13, 2018 - October 23, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

May 26, 2009 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BROOKFIELD, WI

Past

May 15, 2009 - October 17, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BROOKFIELD, WI

Past

January 27, 2009 - April 16, 2009

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

MENOMONEE FALLS, WI

Past

November 17, 2008 - April 16, 2009

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

MENOMONEE FALLS, WI

Past

June 5, 2006 - April 18, 2008

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464

MILWAUKEE, WI

Past

July 2, 1999 - May 31, 2006

SCOTTRADE, INC.

CRD#: 8206

BROOKFIELD, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BROADVIEW FINANCIAL MANAGEMENT, LLC

BROADVIEW FINANCIAL MANAGEMENT, LLC | SJA FINANCIAL ADVISORY, LLC | SATTELL, JOHNSON, APPEL FINANCIAL ADVISORY, LLC

CRD#: 143550 / SEC#: 801-77625

RIA

Registered Investment Advisory firm - (2/13/2013 Approved)

Wisconsin

Registered Investment Advisory firm - (2/22/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/1/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/9/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/1/1999

General Securities Representative Examination

Current Firm

BROADVIEW FINANCIAL MANAGEMENT, LLC

BROADVIEW FINANCIAL MANAGEMENT, LLC | SJA FINANCIAL ADVISORY, LLC | SATTELL, JOHNSON, APPEL FINANCIAL ADVISORY, LLC

CRD#: 143550 / SEC#: 801-77625

RIA

Registered Investment Advisory firm - (2/13/2013 Approved)

Wisconsin

Registered Investment Advisory firm - (2/22/2013 Terminated)

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Contact information

Main Address

10401 W Innovation Dr Suite 100, Wauwatosa, WI 53226

Mailing Address

Phone number

(414) 390-1492

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROADVIEW ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,273
AUM (Assets Under Management)	$ 623,294,951

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Tammy M. Gomolla

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Education

University of Wisconsin - Milwaukee

Experience

BROADVIEW FINANCIAL MANAGEMENT, LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC

ASSOCIATED INVESTMENT SERVICES, INC.

SCOTTRADE, INC.

Primary Firm SEC Registration

BROADVIEW FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/1/2007

Series 63

Date: 7/9/1999

SIE

Date: 10/1/2018

Series 7

Date: 7/1/1999

Current Firm

BROADVIEW FINANCIAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROADVIEW FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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