Meet Tammy

Tammy brings more than 30 years of branch operations and compliance experience to her role as Manager of Branch Exams.

She joined Essential Edge from Atria Wealth Solutions, where as Vice President, Compliance Manager, she served as Team Lead for Enterprise Registration and Licensing and Independent Channel branch examinations. In that capacity, she oversaw branch inspections and trained examiners, while supervising licensing and registration, all enterprise-wide. She also oversaw processing and submission of all FINRA Forms, approved outside business activities, and managed the ADV and ADV Part 2 B Brochure Supplements process for NEXT Investment Adviser Representatives.

Prior to Atria’s acquisition of NEXT Financial, as Compliance Manager, Tammy supervised NEXT’s Registration and Licensing and Branch Office Examinations teams, a position she was promoted to after serving as the firm’s Licensing Supervisor.

Earlier in her career, Tammy served as an Operations Manager at UBS Private Wealth Management.

She has held FINRA licenses Series 7, 9, 10, 24, 63 and 65.

Tammy has served on the RegEd Client Advisory Board for Auditrax from 2018-2024.

When not working Tammy enjoys spending time with her family, walking and seeing the world with her husband, Matt.