Individual Firm
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TAMMY LYNN BUTTS
TAMMY TUTTLE
CRD#: 1750441
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 520 LAKE COOK ROAD
SUITE 270
DEERFIELD, IL 60015
SUITE 270
DEERFIELD, IL 60015
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4/19/2009
Customer Dispute
Withdrawn
7/14/2008
Customer Dispute
Denied
3/10/2004
Customer Dispute
Denied
State Registrations
B
California 5/7/2003
B
Indiana 6/13/2012
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California 9/3/2010
IA
Indiana 6/14/2012
B
Florida 12/1/2020
B
Michigan 9/20/2001
IA
Florida 12/3/2020
IA
Michigan 3/10/2010
B
Georgia 7/22/2021
B
Missouri 2/23/2023
IA
Georgia 7/27/2021
IA
Missouri 3/2/2023
B
Illinois 6/21/2001
B
Texas 9/12/2006
IA
Illinois 7/17/2001
IA
Texas 9/22/2006
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 7/17/2001
B
Registered with this firm since 6/8/2001
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/09/1998 - 04/08/1998 | SAN FRANCISCO, CA | |
B | 10/15/1993 - 05/02/1995 | NAPA, CA | |
B | 04/13/1989 - 08/03/1989 | ||
B | 10/21/1987 - 01/02/1989 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.