Tania Ymanowski
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.
Tania Ymanowski was a registered financial professional .
Tania is a previously registered financial professional and started their career in finance in 2000. Tania had worked at 9 firms and has passed the Series 66 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
September 4, 2013 - August 18, 2014
SCOTTRADE, INC.
June 21, 2013 - July 2, 2013
OPPENHEIMER & CO. INC.
June 21, 2013 - July 2, 2013
OPPENHEIMER & CO. INC.
December 14, 2012 - May 9, 2013
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2012 - May 9, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 23, 2012 - September 19, 2012
WADDELL & REED
April 9, 2012 - September 19, 2012
WADDELL & REED
April 21, 2008 - June 4, 2009
CITIGROUP GLOBAL MARKETS INC.
April 21, 2008 - June 4, 2009
CITIGROUP GLOBAL MARKETS INC.
October 26, 2007 - January 30, 2008
U.S. BANCORP ADVISORS, LLC
October 26, 2007 - January 30, 2008
U.S. BANCORP ADVISORS, LLC
July 21, 2004 - March 21, 2007
WAMU INVESTMENTS, INC.
July 21, 2004 - March 21, 2007
WAMU INVESTMENTS, INC.
April 28, 2003 - April 6, 2004
TD AMERITRADE, INC.
February 21, 2002 - April 6, 2004
TD AMERITRADE, INC.
June 15, 2000 - November 16, 2001
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
