Tamar Eckstein
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.
Tamar Eckstein, who also goes by Tamar E Eckertein, Tamar Eve Eckstein, was a registered financial professional .
Tamar is a previously registered financial professional and started their career in finance in 2000. Tamar had worked at 6 firms and has passed the Series 66, Series 22TO, Series 7TO, Series 82TO, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 39, Series 24, Series 10, Series 9 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2019 - September 8, 2023
WELLS FARGO SECURITIES, LLC
August 1, 2014 - November 29, 2018
PRUCO SECURITIES, LLC.
November 29, 2010 - June 26, 2013
BARCLAYS CAPITAL INC.
November 24, 2010 - June 26, 2013
BARCLAYS CAPITAL INC.
November 24, 2008 - July 6, 2010
UBS FINANCIAL SERVICES INC.
November 29, 2005 - November 24, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 9, 2000 - October 7, 2005
IDS LIFE INSURANCE COMPANY
August 9, 2000 - October 7, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 22TO
Date: 10/7/2025
Direct Participation Programs Representative ExaminationSeries 7TO
Date: 10/7/2025
General Securities Representative ExaminationSeries 82TO
Date: 10/7/2025
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 10/7/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 10/7/2025
Operations Professional ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 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.
