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Detailed Report
Tamara Denice Fain
TAMARA DENICE FAIN MS, TAMARA DENICE SMITH
CRD#: 2657019
IA
Investment Adviser
B
Broker
STIFEL INDEPENDENT ADVISORS, LLCCRD#: 28218 ST. ANN, MO
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2002 - 2004 (1 year)2 FIRMS2017 - Present (7 years)IASTIFEL INDEPENDENT ADVISORS, LLC (CRD# 28218)2024 - Present (<1 year)BSTIFEL INDEPENDENT ADVISORS, LLC (CRD# 28218)2018 - Present (7 years)BEDWARD JONES (CRD# 250)2007 - 2017 (10 years)BFFP SECURITIES, INC. (CRD# 16337)2005 - 2007 (2 years)BEDWARD JONES (CRD# 250)2000 - 2002 (1 year)IAEDWARD JONES (CRD# 250)2014 - 2017 (3 years)
License(s)

State Registrations

B
Alabama 1/9/2018
B
Montana 1/9/2018
B
Alaska 1/9/2018
B
Nebraska 1/8/2018
B
Arizona 1/11/2018
B
New Hampshire 1/10/2018
B
Arkansas 11/30/2017
B
New Jersey 1/9/2018
B
California 1/9/2018
B
New Mexico 1/9/2018
B
Colorado 1/10/2018
B
New York 1/31/2018
B
Connecticut 1/9/2018
B
North Carolina 1/17/2018
B
Delaware 1/18/2018
B
North Dakota 1/9/2018
B
District of Columbia 1/9/2018
B
Ohio 1/9/2018
B
Florida 1/9/2018
B
Oklahoma 1/16/2018
B
Georgia 1/10/2018
B
Oregon 1/24/2018
B
Hawaii 1/8/2018
B
Pennsylvania 1/9/2018
B
Idaho 1/10/2018
B
Puerto Rico 1/18/2018
B
Illinois 1/9/2018
B
Rhode Island 1/12/2018
B
Indiana 1/9/2018
B
South Carolina 1/10/2018
B
Iowa 1/9/2018
B
South Dakota 1/10/2018
B
Kansas 1/9/2018
B
Tennessee 1/9/2018
B
Kentucky 1/9/2018
B
Texas 1/8/2018
B
Louisiana 1/10/2018
IA
Texas 1/9/2018
B
Maine 1/9/2018
B
Utah 11/30/2017
B
Maryland 1/10/2018
B
Vermont 1/12/2018
B
Massachusetts 11/30/2017
B
Virgin Islands 1/11/2018
B
Michigan 1/10/2018
B
Virginia 11/30/2017
B
Minnesota 1/12/2018
B
Washington 1/16/2018
B
Mississippi 1/9/2018
B
West Virginia 11/30/2017
B
Missouri 11/30/2017
B
Wisconsin 1/9/2018
IA
Missouri 11/30/2017
B
Wyoming 1/11/2018

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL INDEPENDENT ADVISORS, LLC (CRD#:28218)
ST. ANN, MO
501 N BROADWAY, ST LOUIS, MO 63102
Registered with this firm since 6/26/2024
B
STIFEL INDEPENDENT ADVISORS, LLC (CRD#:28218)
ST. ANN, MO
ONE FINANCIAL PLAZA 501 NORTH BROADWAY, ST. LOUIS, MO 63102
Registered with this firm since 1/11/2018
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
ST. ANN, MO
501 N BROADWAY, ST LOUIS, MO 63102
Registered with this firm since 11/30/2017
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
ST. ANN, MO
501 NORTH BROADWAY, ST. LOUIS, MO 63102
Registered with this firm since 11/30/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/28/2014 - 11/27/2017 EDWARD JONES (CRD#:250) ST LOUIS, MO
B
 03/20/2007 - 11/27/2017 EDWARD JONES (CRD#:250) ST LOUIS, MO
B
 01/06/2005 - 03/09/2007 FFP SECURITIES, INC. (CRD#:16337) CHESTERFIELD, MO
IA
 08/27/2002 - 07/15/2004 FFP ADVISORY SERVICES INC (CRD#:110778) CHESTERFIELD, MO
B
 08/27/2002 - 07/15/2004 FFP SECURITIES, INC. (CRD#:16337) CHESTERFIELD, MO
B
 12/06/2000 - 08/27/2002 EDWARD JONES (CRD#:250) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.