Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
TAMARA A GLENN
TAMARA A DAWSON, Tamara Ann Dawson, TAMARA GALLEGOS, Tamara Ann Gallegos, TAMARA HASELBY…
CRD#: 4324857
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Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2006200820102012201420162018202020222024IALPL FINANCIAL LLC (CRD# 6413)2023 - 2024 (<1 year)IASPC (CRD# 110692)2022 - 2023 (1 year)IASECURIAN FINANCIAL SERVICES, INC. (CRD# 15296)2018 - 2022 (3 years)IAFIFTH THIRD SECURITIES, INC. (CRD# 628)2017 - 2018 (<1 year)IAINFINEX INVESTMENTS, INC. (CRD# 35371)2016 - 2017 (1 year)IAESSEX NATIONAL SECURITIES, LLC (CRD# 25454)2014 - 2016 (1 year)IAESSEX NATIONAL SECURITIES, INC. (CRD# 25454)2012 - 2012 (<1 year)IASPC (CRD# 110692)2010 - 2012 (2 years)IALASALLE FINANCIAL SERVICES, INC. (CRD# 20373)2006 - 2007 (1 year)
Disclosure(s)
View By:
1/5/2024
Customer Dispute
Settled
10/12/2023
Customer Dispute
Pending
2/3/2022
Customer Dispute
Denied
3/8/2019
Customer Dispute
Settled
1/17/2018
Customer Dispute
Denied
1/9/2018
Customer Dispute
Denied
Previous Registration(s)
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 06/13/2023 - 01/25/2024 LPL FINANCIAL LLC (CRD#:6413) EAST LANSING, MI
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 01/21/2022 - 06/14/2023 SPC (CRD#:110692) East Lansing, MI
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 09/06/2018 - 01/24/2022 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) Okemos, MI
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 09/20/2017 - 08/30/2018 FIFTH THIRD SECURITIES, INC. (CRD#:628) SOUTHFIELD, MI
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 07/01/2016 - 09/12/2017 INFINEX INVESTMENTS, INC. (CRD#:35371) Boynton Beach, FL
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 09/17/2014 - 07/01/2016 ESSEX NATIONAL SECURITIES, LLC (CRD#:25454) Boynton Beach, FL
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 03/21/2012 - 08/30/2012 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) Boynton Beach, FL
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 02/08/2010 - 03/12/2012 SPC (CRD#:110692) LANSING, MI
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 02/22/2006 - 02/21/2007 LASALLE FINANCIAL SERVICES, INC. (CRD#:20373) CHARLOTTE, MI
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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.
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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.