Tawny C. Bloom
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.
Tawny Champagne Bloom, who also goes by Tawny Marie Bloom, Tammy Marie Champagne, Tawny Marie Champagne, was a registered financial professional .
Tawny is a previously registered financial professional and started their career in finance in 2004. Tawny had worked at 4 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
May 29, 2013 - August 21, 2015
KESTRA INVESTMENT SERVICES, LLC
May 6, 2013 - August 21, 2015
KESTRA INVESTMENT SERVICES, LLC
January 25, 2011 - October 8, 2012
PEOPLE'S SECURITIES, INC.
January 13, 2011 - October 8, 2012
PEOPLE'S SECURITIES, INC.
November 15, 2004 - January 5, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
July 6, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
July 6, 2004 - January 5, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
May 3, 2004 - July 2, 2004
IDS LIFE INSURANCE COMPANY
May 3, 2004 - July 2, 2004
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
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
