Tamara L. Pfeffer
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 Lee Pfeffer, who also goes by Tamara Lee Darr, Tamara Lee Slukich, was a registered financial professional .
Tamara is a previously registered financial professional and started their career in finance in 2004. Tamara had worked at 5 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
April 23, 2015 - May 22, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 17, 2015 - May 22, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 12, 2013 - January 27, 2015
LPL FINANCIAL LLC
March 12, 2013 - January 27, 2015
LPL FINANCIAL LLC
January 3, 2011 - January 9, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - January 9, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 7, 2004 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 31, 2004 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
