Tamara Stein (CRD# 3054581) is an Investment Advisor Representative working at Hightower Advisors, LLC in Encino, CA and has over 16 years of experience in the finance industry.
CRD# 6093393
Equalis Financial
Score
106
CRD# 2753945
Fried Asset Management, Inc.
Score
104
CRD# 4266581
Dash Investments
Score
103
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Hightower Advisors, LLC | Encino, CA | Dec 2015 - Current | 2 |
| Hightower Securities, LLC | Encino, CA | Dec 2015 - Current | 2 |
| Morgan Stanley Private Bank, National Association | New York, NY | Jan 2015 - Dec 2015 | < 1 |
| Morgan Stanley Smith Barney | Woodland Hills, CA | Apr 2011 - Dec 2015 | 4 |
| Unemployment | Studio City, CA | Feb 2010 - Mar 2011 | 1 |
| Morgan Stanley & Company Incorporated | Woodland Hills, CA | Jan 2009 - Jan 2010 | 1 |
| Unemployed | Studio City, CA | Jan 2008 - Jan 2009 | 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Jul 2001 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.
Reported Disclosure Event:- Customer Dispute
- CA
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Total Assets Under Management30,200MILLIONS
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Total Number of Accounts75,926ACCOUNTS
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Average Account Value$397,750
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
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