TR
Tamara K. Rose
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS
BOSTON, MA 02114
CRD#: 5814826
TR
Professional summary
Tamara Kaila Rose, who also goes by Tamara Rose Fleer, Tamara Rose Plantinga, Tamara Rose Plantinga, is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Boston, Massachusetts.
Tamara is registered as a RR (Registered Representative) and started their career in finance in 2011. Tamara has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tamara Rose Fleer | Tamara Rose Plantinga | Tamara Rose Plantinga
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.
CRS (Client Relationship Summary) - BD
Click below to view Tamara Kaila Rose's 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®
NoneExperience
Current
November 23, 2022 - Present
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Office #1: One Congress Street, Boston, MA 02114BD
CRD#: 30107
BOSTON, MA
Past
November 14, 2017 - September 20, 2019
OSAIC SERVICES, INC.
RIA
CRD#: 133763
CALABASAS, CA
Past
November 14, 2017 - September 20, 2019
OSAIC SERVICES, INC.
BD
CRD#: 133763
CALABASAS, CA
Past
September 22, 2016 - November 14, 2017
SII INVESTMENTS, INC.
RIA
CRD#: 2225
WOODLANDS HILL, CA
Past
September 21, 2016 - November 14, 2017
SII INVESTMENTS, INC.
BD
CRD#: 2225
WOODLANDS HILL, CA
Past
July 19, 2013 - March 22, 2016
CURIAN CAPITAL, LLC
RIA
CRD#: 120270
DENVER, CO
Past
April 9, 2012 - March 22, 2016
CURIAN CLEARING, LLC
BD
CRD#: 132938
DENVER, CO
Past
April 5, 2011 - August 23, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
DENVER, CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(1/27/2023)
RR
Alaska(1/27/2023)
RR
Arizona(12/5/2022)
RR
Arkansas(1/27/2023)
RR
California(1/27/2023)
RR
Colorado(11/30/2022)
RR
Connecticut(11/30/2022)
RR
Delaware(1/27/2023)
RR
District of Columbia(11/30/2022)
RR
Florida(11/30/2022)
RR
Georgia(1/27/2023)
RR
Hawaii(1/27/2023)
RR
Idaho(11/30/2022)
RR
Illinois(1/27/2023)
RR
Indiana(1/27/2023)
RR
Iowa(1/27/2023)
RR
Kansas(1/27/2023)
RR
Kentucky(1/27/2023)
RR
Louisiana(11/30/2022)
RR
Maine(1/27/2023)
RR
Maryland(11/30/2022)
RR
Massachusetts(1/27/2023)
RR
Michigan(1/27/2023)
RR
Minnesota(1/27/2023)
RR
Mississippi(1/27/2023)
RR
Missouri(1/27/2023)
RR
Montana(1/27/2023)
RR
Nebraska(1/27/2023)
RR
Nevada(1/27/2023)
RR
New Hampshire(1/27/2023)
RR
New Jersey(1/27/2023)
RR
New Mexico(1/27/2023)
RR
New York(1/27/2023)
RR
North Carolina(1/27/2023)
RR
North Dakota(1/27/2023)
RR
Ohio(1/30/2023)
RR
Oklahoma(1/27/2023)
RR
Oregon(1/27/2023)
RR
Pennsylvania(1/27/2023)
RR
Puerto Rico(11/30/2022)
RR
Rhode Island(1/27/2023)
RR
South Carolina(1/27/2023)
RR
South Dakota(1/27/2023)
RR
Tennessee(1/27/2023)
RR
Texas(1/27/2023)
RR
Utah(1/27/2023)
RR
Vermont(1/27/2023)
RR
Virginia(1/27/2023)
RR
Washington(1/27/2023)
RR
West Virginia(1/27/2023)
RR
Wisconsin(1/27/2023)
RR
Wyoming(1/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/23/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC
CRD#: 30107 / SEC#: , 8-44744
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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.
Company Information
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107Boston, MA 02114TRUST BUT VERIFY
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