Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
TAMMY L BEASLEY
TAMMY L PIERCE, TAMMY LEE SPACK
CRD#: 5283204
IA
Investment Adviser
B
Broker
EMPOWER ADVISORY GROUP, LLCCRD#: 112058 Dubuque, IA
EMPOWER FINANCIAL SERVICES, INC.CRD#: 13109 Dubuque, IA
Registration History
20082010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BPRUDENTIAL INVESTMENT MANAGEME... (CRD# 18353)2007 - 2022 (15 years)IAPRUDENTIAL CUSTOMER SOLUTIONS LLC (CRD# 286153)2019 - 2020 (1 year)IAGLOBAL PORTFOLIO STRATEGIES, INC. (CRD# 105812)2007 - 2018 (11 years)
License(s)

State Registrations

B
Alabama 4/4/2022
B
Montana 4/4/2022
B
Alaska 4/4/2022
B
Nebraska 4/4/2022
B
Arizona 4/4/2022
B
Nevada 4/4/2022
B
Arkansas 4/4/2022
B
New Hampshire 4/4/2022
B
California 4/4/2022
B
New Jersey 4/4/2022
B
Colorado 4/4/2022
B
New Mexico 4/4/2022
B
Connecticut 4/4/2022
B
New York 4/4/2022
B
Delaware 4/4/2022
B
North Carolina 4/4/2022
B
District of Columbia 4/4/2022
B
North Dakota 4/4/2022
B
Florida 4/5/2022
B
Ohio 4/4/2022
B
Georgia 4/4/2022
B
Oklahoma 4/4/2022
B
Hawaii 4/4/2022
B
Oregon 4/4/2022
B
Idaho 4/4/2022
B
Pennsylvania 4/4/2022
B
Illinois 4/4/2022
B
Puerto Rico 4/4/2022
B
Indiana 4/4/2022
B
Rhode Island 4/4/2022
B
Iowa 4/4/2022
B
South Carolina 4/4/2022
IA
Iowa 7/5/2022
B
South Dakota 4/4/2022
B
Kansas 4/4/2022
B
Tennessee 4/4/2022
B
Kentucky 4/4/2022
B
Texas 4/4/2022
B
Louisiana 4/4/2022
B
Utah 4/4/2022
B
Maine 4/4/2022
B
Vermont 4/4/2022
B
Maryland 4/4/2022
B
Virgin Islands 4/4/2022
B
Massachusetts 4/4/2022
B
Virginia 4/4/2022
B
Michigan 4/4/2022
B
Washington 4/4/2022
B
Minnesota 4/4/2022
B
West Virginia 4/4/2022
B
Mississippi 4/4/2022
B
Wisconsin 4/4/2022
B
Missouri 4/4/2022
B
Wyoming 4/4/2022

SRO Registrations

B
 FINRA

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
EMPOWER ADVISORY GROUP, LLC (CRD#:112058)
Dubuque, IA
Registered with this firm since 7/5/2022
B
EMPOWER FINANCIAL SERVICES, INC. (CRD#:13109)
Dubuque, IA
Registered with this firm since 4/4/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/15/2007 - 04/04/2022 PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (CRD#:18353) Dubuque, IA
IA
 05/31/2019 - 11/24/2020 PRUDENTIAL CUSTOMER SOLUTIONS LLC (CRD#:286153) Dubuque, IA
IA
 05/29/2007 - 12/31/2018 GLOBAL PORTFOLIO STRATEGIES, INC. (CRD#:105812) DUBUQUE, IA
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.