Tammy B. Paxton

APO FINANCIAL SERVICES

NASHVILLE, TN

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CRD#: 5335295

Professional summary

Tammy B Paxton, CFP®, who also goes by Tammy Deon Bailey, Tammy Bailey Marlowe, Tammy Bailey Paxton, is a registered financial advisor currently at APO FINANCIAL SERVICES, LLC located in Nashville, Tennessee and GPWA, LLC located in Nashville, Tennessee.

Tammy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Tammy has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tammy Deon Bailey | Tammy Bailey Marlowe | Tammy Bailey Paxton

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). Assurance Financial Partners, non-investment related, 348 Cool Springs Blvd. Ste. B, Franklin TN 37067, Insurance Sales, Insurance Producer since 12/4/2018, hours per month: 10; Hours during trading: 0 2). Gramercy Park Wealth Advisors, LLC (GPWA, LLC) Investment Related, 2400 Barton Avenue, Nashville, TN 37212, Investment Advisor Representative & Registered Representative since 09/2020; hours per month: 10; Hours during trading: 0 3). National Gold Consultants; Investment Related; 2935 Sharon Hill Circle, Nashville Tennessee 37215; Precious Metals Wholesaler; Sales Representative Since 01/2021; Hours Per Month: 10; Hours During Trading: 5

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tammy B Paxton's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

February 18, 2020 - Present

APO FINANCIAL SERVICES, LLC

RIA

CRD#: 297647

NASHVILLE, TN

Current

September 18, 2020 - Present

GPWA, LLC

Office #1: 920 South Street, Unit #207, Nashville, TN 37203

RIA

CRD#: 170171

Nashville, TN

Current

September 18, 2020 - Present

GPWA, LLC

Office #1: 2400 Barton Ave., Nashville, TN 37212

RIA

CRD#: 170171

Nashville, TN

Past

December 14, 2018 - December 16, 2019

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

Nashville, TN

Past

January 16, 2009 - December 11, 2018

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BRENTWOOD, TN

Past

January 16, 2009 - December 11, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

BRENTWOOD, TN

Past

July 25, 2007 - December 31, 2008

THOROUGHBRED FINANCIAL SERVICES, LLC

CRD#: 47893

BRENTWOOD, TN

Past

June 15, 2007 - December 31, 2008

THOROUGHBRED FINANCIAL SERVICES, LLC

RIA

CRD#: 47893

BRENTWOOD, TN

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".

APO FINANCIAL SERVICES, LLC

APO FINANCIAL SERVICES, LLC | SCOTT FINANCIAL SERVICES | JOHN HART FINANCIAL | ASSURANCE FINANCIAL PARTNERS

CRD#: 297647 / SEC#: 801-118090

RIA

Registered Investment Advisory firm - (2/14/2020 Approved)

Colorado

Registered Investment Advisory firm - (3/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/21/2020 Terminated)

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).

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.

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

Kentucky
(9/18/2020)

North Carolina
(9/18/2020)

IAR

Tennessee
(2/18/2020)

Tennessee
(9/18/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/4/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/16/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/24/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

APO FINANCIAL SERVICES, LLC

APO FINANCIAL SERVICES, LLC | SCOTT FINANCIAL SERVICES | JOHN HART FINANCIAL | ASSURANCE FINANCIAL PARTNERS

CRD#: 297647 / SEC#: 801-118090

RIA

Registered Investment Advisory firm - (2/14/2020 Approved)

Colorado

Registered Investment Advisory firm - (3/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/21/2020 Terminated)

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Contact information

Main Address

10155 Westmoor Drive Suite 125, Westminster, CO 80021-2627

Mailing Address

Phone number

(720) 588-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APO FINANCIAL FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	929
AUM (Assets Under Management)	$ 111,168,207

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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Tammy B. Paxton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tammy B Paxton's CRS (Customer Relationship Summary).

Certified licenses

Experience

GPWA, LLC

GPWA, LLC

HORTER INVESTMENT MANAGEMENT, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

THOROUGHBRED FINANCIAL SERVICES, LLC

THOROUGHBRED FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

APO FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/4/2007

Series 65

Date: 2/16/2007

SIE

Date: 10/1/2018

Series 7

Date: 7/24/2007

FINRA

Current Firm

APO FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APO FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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