Tara L. O'connor
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.
Tara Lynn O'connor, who also goes by Tara Lynn Bremmer, was a registered financial professional .
Tara is a previously registered financial professional and started their career in finance in 2009. Tara had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2024 - November 3, 2025
NICOLET WEALTH MANAGEMENT
January 23, 2020 - September 9, 2020
WOODBURY FINANCIAL SERVICES, INC.
October 1, 2012 - March 21, 2014
J.P. MORGAN SECURITIES LLC
April 14, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 2, 2009 - January 26, 2010
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
NICOLET WEALTH MANAGEMENT
CRD#: 283940 / SEC#: 801-108012
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
Series 7TO
Date: 1/23/2020
General Securities Representative ExaminationCurrent Firm
NICOLET WEALTH MANAGEMENT
CRD#: 283940 / SEC#: 801-108012
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,809 |
| AUM (Assets Under Management) | $ 3,849,158,087 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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