Tammi A. Dauby

BROOKSTONE FINANCIAL

Jeffersonville, IN 47130

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CRD#: 4632144

Professional summary

Tammi Adele Dauby, who also goes by Tammi Adele Stoddard, Tammi Stoddard, is a registered financial advisor currently at BROOKSTONE FINANCIAL located in Jeffersonville, Indiana.

Tammi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Tammi has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tammi Adele Stoddard | Tammi Stoddard

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.

(1) BROOKSTONE FINANCIAL; INV RELATED; INSURANCE AGENT; INSURANCE SALES AND SERVICES; JEFFERSONVILLE, IN START 07/2021; 80 HRS PER MONTH; 80 HRS DURING SECURITY TRADING HOURS; 50% OF TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tammi Adele Dauby'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®

None

Experience

Current

August 3, 2021 - Present

BROOKSTONE FINANCIAL

Office #1: 2213 Allison Lane, Jeffersonville, IN 47130

RIA

CRD#: 168185

Jeffersonville, IN

Past

December 16, 2017 - June 2, 2021

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

RIA

CRD#: 109701

Louisville, KY

Past

December 15, 2017 - June 2, 2021

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

Louisville, KY

Past

February 19, 2016 - December 15, 2017

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

LOUISVILLE, KY

Past

February 19, 2016 - December 15, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

LOUISVILLE, KY

Past

June 30, 2011 - August 11, 2015

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

LOUISVILLE, KY

Past

June 30, 2011 - August 11, 2015

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

LOUISVILLE, KY

Past

April 30, 2010 - June 28, 2011

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

JEFFERSONVILLE, IN

Past

July 6, 2005 - June 28, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

JEFFERSONVILLE, IN

Past

August 22, 2003 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

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.

Highlighted states indicate IAR registrations

IAR

Indiana
(8/3/2021)

IAR

Kentucky
(8/3/2021)

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: 4/28/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/17/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/10/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/7/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/21/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROOKSTONE FINANCIAL

BROOKSTONE FINANCIAL | PMB WEALTH MANAGEMENT | PMB CAPITAL MANAGEMENT, LLC

CRD#: 168185 / SEC#:

Florida

Registered Investment Advisory firm - (10/29/2020 Terminated)

Indiana

Registered Investment Advisory firm - (10/4/2013 Approved)

Kentucky

Registered Investment Advisory firm - (12/11/2013 Approved)

Louisiana

Registered Investment Advisory firm - (11/6/2013 Approved)

Tennessee

Registered Investment Advisory firm - (2/28/2022 Terminated)

Texas

Registered Investment Advisory firm - (10/20/2021 Conditional Restricted)

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).

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Contact information

Main Address

2213 Allison Lane, Jeffersonville, IN 47130

Mailing Address

Phone number

(812) 288-9000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	607
AUM (Assets Under Management)	$ 76,900,000

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.

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Advisor Monitoring

Firm Stability Insights

Tammi A. Dauby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tammi Adele Dauby's CRS (Customer Relationship Summary).

Certified licenses

Experience

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

LASALLE ST SECURITIES, L.L.C.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 4/28/2010

Series 63

Date: 11/17/2003

Series 7TO

Date: 8/10/2022

SIE

Date: 10/1/2018

Series 7

Date: 12/7/2006

Series 6

Date: 8/21/2003

Current Firm

BROOKSTONE FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BROOKSTONE FINANCIAL

TRUST BUT VERIFY

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