TB
Tammy M. Broderick
PRINCIPAL ADVISED SERVICES
CRESTON, IA
Some features on this profile are disabled
CRD#: 4260759
TB
Professional summary
Tammy Michelle Broderick, who also goes by Tammy Michelle Key, Tammy Michelle Kingery, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Creston, Iowa and PRINCIPAL SECURITIES, INC. located in Creston, Iowa.
Tammy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Tammy has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tammy Michelle Key | Tammy Michelle Kingery
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.
***BUCKAROO DEER BLINDS LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2023 ADDRESS: 1500 N. Cherry Street, Creston IA 50801, United States DESCRIPTION: Upon approval of OBA, my husband Adam Broderick & I will pursue & fully establish LLC to sell deer hunting blinds. Primary focus is reseller with mark up of deer blinds. My role is very limited to administrative on weekends & I will not participate in customer sales or delivery. The intention is this is my husband's side business and he has primary responsibility towards it. ***PRINCIPAL ADVISED SERVICES POSITION: Investment Adviser Representative NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2022 ADDRESS: 711 High St, Des Moines IA 50392, United States DESCRIPTION: Investment Adviser Representative RIA or IAR outside of PSI Investment Adviser Representative of a Registered Investment Adviser that facilitates investment advice to its customers. Compensation is from combined role with Principal on behalf of the Principal Securities, Principal Bank and Principal Advised Services entities. ***PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/21/2021 ADDRESS: 711 High St, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products. Bank/Credit Union/Financial Institution Arrangement
CRS (Client Relationship Summary) - RIA
Click below to view Tammy Michelle Broderick's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 21, 2024 - Present
PRINCIPAL ADVISED SERVICES
RIA
CRD#: 297324
CRESTON, IA
Current
September 6, 2000 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Creston, IA
Past
October 23, 2004 - November 26, 2023
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
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".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/21/2002)
RR
Alaska(3/21/2002)
RR
Arizona(3/21/2002)
RR
Arkansas(3/21/2002)
RR
California(3/21/2002)
RR
Colorado(3/21/2002)
RR
Connecticut(3/21/2002)
RR
Delaware(3/21/2002)
RR
District of Columbia(3/21/2002)
RR
Florida(3/21/2002)
RR
Georgia(3/21/2002)
RR
Hawaii(3/21/2002)
RR
Idaho(3/21/2002)
RR
Illinois(3/21/2002)
RR
Indiana(3/21/2002)
RR
Iowa(9/18/2000)
IAR
Iowa(8/21/2024)
RR
Kansas(3/21/2002)
RR
Kentucky(3/21/2002)
RR
Louisiana(3/21/2002)
RR
Maine(3/22/2002)
RR
Maryland(3/21/2002)
RR
Massachusetts(3/21/2002)
RR
Michigan(3/21/2002)
RR
Minnesota(3/21/2002)
RR
Mississippi(3/21/2002)
RR
Missouri(3/21/2002)
RR
Montana(3/21/2002)
RR
Nebraska(3/21/2002)
RR
Nevada(3/21/2002)
RR
New Hampshire(3/21/2002)
RR
New Jersey(3/21/2002)
RR
New Mexico(3/21/2002)
RR
New York(3/21/2002)
RR
North Carolina(3/21/2002)
RR
North Dakota(3/21/2002)
RR
Ohio(3/22/2002)
RR
Oklahoma(3/21/2002)
RR
Oregon(3/21/2002)
RR
Pennsylvania(3/21/2002)
RR
Rhode Island(3/21/2002)
RR
South Carolina(3/21/2002)
RR
South Dakota(3/21/2002)
RR
Tennessee(3/21/2002)
RR
Texas(3/21/2002)
RR
Utah(3/21/2002)
RR
Vermont(3/22/2002)
RR
Virginia(3/21/2002)
RR
Washington(3/21/2002)
RR
West Virginia(3/21/2002)
RR
Wisconsin(3/21/2002)
RR
Wyoming(3/21/2002)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
