Tammy B. Paxton

GPWA

Nashville, TN 37203

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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 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

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

February 18, 2020 - December 31, 2025

APO FINANCIAL SERVICES, LLC

RIA

CRD#: 297647

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

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)

Tennessee
(9/18/2020)

IAR

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

GPWA, LLC

GPWA, LLC | GRAMERCY PARK WEALTH ADVISORS, LLC

CRD#: 170171 / SEC#: , 8-69413

Georgia

Registered Investment Advisory firm - SEC (2/15/2023 Approved)

Michigan

Registered Investment Advisory firm - SEC (11/28/2018 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (10/2/2013 Approved)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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

2400 Barton Ave., Nashville, TN 37212

Mailing Address

2400 Barton Ave., Nashville, TN 37212

Phone number

(615) 424-2118

Established

Tennessee since 01/29/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
COTE, BRIAN JOSEPH	CEO/ CCO	4218494
BEATON, DANIEL STEWART	FINOP	4240769

Regulatory assets under management

Total Number of Accounts	321
AUM (Assets Under Management)	$ 88,197,399

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

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).

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

GPWA, LLC

APO FINANCIAL SERVICES, LLC

HORTER INVESTMENT MANAGEMENT, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

THOROUGHBRED FINANCIAL SERVICES, LLC

THOROUGHBRED 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

GPWA, LLC

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

GPWA, LLC

TRUST BUT VERIFY

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