Tamara Lynn Shumate Brown

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2017-05-19
FL	RA	APPROVED	2007-08-13

TX RA
APPROVED

Since 2017-05-19
FL RA
APPROVED

Since 2007-08-13

Branch Locations

4890 W Kennedy Blvd Ste 860, Tampa, FL 33609 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Tampa	FL	08/2007	Present

08/2007 → Present

Lpl Financial, Llc

Tampa, FL

Previous Registrations

1994-07-18 → 2007-08-17

A. G. Edwards & Sons, Inc.

Tampa, FL

Tampa, FL

Other Businesses

1. 07/10/2007 -Tampa Bay Estate Planning Council - NOT INV REL - Community, Civic and Charitable Board - Member. I attend monthly meetings. 2. 08/28/2007 - TAMPA CAPITAL GROUP, LLC - THIS COMPANY WAS ESTABLISHED TO RUN COMMISSIONS THROUGH THE LLC. - TIME SPENT 5% - TAMPA, FL. 3. 02/26/2009 - NO BUSINESS NAME - INV REL - NON-VARIABLE INSURANCE - BROKER SELLING FIXED ANNUITIES. - TIME SPENT 5% - TAMPA, FL. 4. 4/12/2016: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 03/30/2016 - 1 Hour Per Month/0 Hours During Securities Trading - Agent.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1986-07-08

S63 Uniform Securities Agent State Law Examination

1986-07-08

Designations

Certified Financial Planner

Other Names

Tammy Lynn Shumate
Tamara Shumate
Tamara Lynn Shumate
Tamara Lynn Shumate-Oelker

View on SEC IAPD