Tammy Cao Wetterwald
Professional Summary
Tammy Cao Wetterwald, who also goes by Tammy Hien Cao, Tammy Cao Wetterwald, Tammy Cao Wetterwald, is a registered financial advisor currently at ALPACA SECURITIES LLC located in New York, New York. Tammy is registered as a RR (Registered Representative) and started their career in finance in 2013. Tammy has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tammy Hien Cao, Tammy Cao Wetterwald, Tammy Cao Wetterwald
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
13 years in the financial services industry
Current & Past Employments
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Current Firm
ALPACA CLEARING | ALPACA SECURITIES LLC
Contact Information
Main Address
12 E 49th St. Floor 11, New York, NY 10017Mailing Address
169 Madison Ave Ste 46989, New York, NY 10016Phone Number
(941) 231-4093Established
Delaware since 03/15/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPACADB, INC. | SOLE MEMBER | — |
| DIAZ, ZACHARY LUCIANO | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 6027965 |
| DUSSEAULT, DAVID STANLEY | PRESIDENT | 2819891 |
| GARZA, FELIPE | AML COMPLIANCE OFFICER | 4613815 |
| LEE, TONY | GLOBAL HEAD OF BROKERAGE | 5618563 |
| SAUGSTAD, MONIQUE D | CHIEF COMPLIANCE OFFICER | 4127241 |
| WETTERWALD, TAMMY CAO | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6113272 |
| ZIA, NABEEL | CHIEF RISK OFFICER | 6787622 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(12/12/2023)
(3/21/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Tammy Cao Wetterwald's CRS (Customer Relationship Summary).
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