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TAMMY R HAFNER
TAMMY R GLACE
CRD#: 4436382
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 10250 ALLIANCE RD STE 125
CINCINNATI, OH 45242
CINCINNATI, OH 45242
CETERA ADVISORS LLCCRD#: 10299 10250 ALLIANCE RD STE 125
CINCINNATI, OH 45242
CINCINNATI, OH 45242
0
Disclosures
13
Years of Experience
View By:
State Registrations
B
Florida 12/1/2023
B
Ohio 1/3/2019
B
Georgia 7/21/2023
IA
Ohio 3/21/2024
B
Indiana 6/6/2024
B
Tennessee 11/30/2023
B
Kentucky 1/4/2023
B
Texas 3/19/2024
IA
Kentucky 3/21/2024
IA
Texas 3/21/2024
B
New Hampshire 7/12/2024
SRO Registrations
B
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IA
Registered with this firm since 3/21/2024
B
Registered with this firm since 5/25/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/22/2022 - 03/21/2024 | GREENWOOD VILLAGE, IL | |
IA | 05/04/2007 - 08/22/2008 | CINCINNATI, OH | |
B | 05/19/2004 - 08/22/2008 | CINCINNATI, OH | |
B | 11/15/2001 - 03/30/2004 | SMITHFIELD, RI |
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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.