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TAMMY L WESTON
TAMMY LYNN MARTIN, TAMMY LYNN MARTIN WESTON
CRD#: 4649814
IA
B
MORGAN STANLEYCRD#: 149777 100 Middle Street
3Rd Floor
Portland, ME 04101
3Rd Floor
Portland, ME 04101
0
Disclosures
19
Years of Experience
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State Registrations
B
Arizona 6/28/2019
B
New Hampshire 9/7/2016
B
California 9/7/2016
B
New Mexico 11/1/2019
B
Colorado 9/7/2016
B
New York 9/7/2016
B
Connecticut 9/7/2016
B
North Carolina 9/7/2016
B
Delaware 1/4/2017
B
Pennsylvania 9/7/2016
B
Florida 8/23/2016
B
South Carolina 9/7/2016
B
Maine 8/23/2016
B
Texas 1/8/2025
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Maine 8/23/2016
IA
Texas 1/10/2025
B
Maryland 2/7/2019
B
Vermont 9/7/2016
B
Massachusetts 9/7/2016
B
Virginia 2/9/2017
B
Michigan 9/7/2016
B
Washington 9/7/2016
B
Minnesota 9/7/2016
B
Wyoming 4/12/2023
B
Missouri 6/6/2024
SRO Registrations
B
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IA
Registered with this firm since 8/23/2016
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Registered with this firm since 8/23/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/23/2010 - 09/14/2016 | PORTLAND, ME | |
B | 07/22/2010 - 09/14/2016 | PORTLAND, ME | |
B | 02/04/2009 - 11/06/2009 | BROOKLYN, OH | |
IA | 10/29/2003 - 02/16/2007 | PORTLAND, ME | |
B | 07/04/2003 - 02/16/2007 | PORTLAND, ME |
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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.