Tamara A. Glenn
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.
Tamara A Glenn, who also goes by Tamara A Dawson, Tamara Ann Dawson, Tamara Gallegos, Tamara Ann Gallegos, Tamara Haselby, Tamara Ann Haselby, Tamara A Langham, Tamara Ann Langham, was a registered financial professional .
Tamara is a previously registered financial professional and started their career in finance in 2001. Tamara had worked at 10 firms and has passed the Series 66, SIE 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
June 13, 2023 - January 25, 2024
LPL FINANCIAL LLC
June 13, 2023 - January 25, 2024
LPL FINANCIAL LLC
January 21, 2022 - June 14, 2023
SPC
January 21, 2022 - June 14, 2023
SIGMA FINANCIAL CORPORATION
September 6, 2018 - January 24, 2022
SECURIAN FINANCIAL SERVICES, INC.
September 6, 2018 - January 24, 2022
SECURIAN FINANCIAL SERVICES, INC.
September 20, 2017 - August 30, 2018
FIFTH THIRD SECURITIES, INC.
September 20, 2017 - August 30, 2018
FIFTH THIRD SECURITIES, INC.
July 1, 2016 - September 12, 2017
OSAIC INSTITUTIONS, INC.
July 1, 2016 - September 12, 2017
OSAIC INSTITUTIONS, INC.
September 17, 2014 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
March 21, 2012 - August 30, 2012
ESSEX NATIONAL SECURITIES, LLC
March 2, 2012 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
February 8, 2010 - March 12, 2012
SPC
February 27, 2009 - March 12, 2012
SIGMA FINANCIAL CORPORATION
March 4, 2008 - March 13, 2009
LPL FINANCIAL LLC
February 6, 2007 - March 4, 2008
IFMG SECURITIES, INC.
February 22, 2006 - February 21, 2007
LASALLE FINANCIAL SERVICES, INC.
September 9, 2003 - February 21, 2007
LASALLE FINANCIAL SERVICES, INC.
April 4, 2001 - September 11, 2003
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
