Tara Davis
Sr Manager - Complaince Officer at TIAA | Dallas-Fort Worth Metroplex
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Tara Davis is a seasoned professional in the financial services industry, currently serving as a Regional Supervisory Principal at TIAA. With over 15 years of experience, Tara has honed her expertise in regulatory oversight, ensuring that branch personnel and processes adhere to stringent company policies, compliance guidelines, and industry regulations. Her role is pivotal in maintaining the integrity of financial operations, as she conducts regular virtual and onsite audits to drive satisfactory compliance outcomes.
Tara's commitment to continuous education is evident in her proactive approach to monitoring registration, licensing, and ongoing training for registered representatives. By fostering a culture of compliance and accountability, she empowers her team to excel while navigating the complexities of the financial landscape. Her leadership capabilities were further enhanced through an 18-month leadership cohort, where she developed vital skills in strategic financial planning, relationship management, and financial analysis.
In addition to her regulatory responsibilities, Tara is adept at leveraging her extensive knowledge of fixed income products and platforms such as Pershing and E-money, which positions her as a valuable resource for her team and clients alike. Her proficiency in various FINRA licenses, including Series 7, 63, 66, 24, 52, and 53, underscores her comprehensive understanding of the financial services sector. Tara's initiative-driven mindset and results-oriented approach make her a key asset to TIAA, as she continues to lead her team toward achieving compliance excellence and fostering client trust in a rapidly evolving industry.
Sr Manager - Complaince Officer at TIAA in July 2019 to Present
Supervision & Surveillance Principal at First Command Financial Services, Inc. in November 2013 to July 2019
Client Services Manager at Julie Rosenthal Wealth Management in November 2010 to November 2013
Client Services Director at Rosenthal Retirement Planning in September 2007 to November 2010
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Series 7
Series 24
Series 63
Wealth Management
Mutual Funds
Finance
Investments
Financial Services
Equities
Asset Management
Strategic Financial Planning
Retirement Planning
Securities
Financial Analysis
Retirement
Financial Risk
Fixed Income
Management
Relationship Management
Series 52
NetX360
Pershing
E-money
Morningstar
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Discover more about TIAAWhat is Tara Davis email address?
Email Tara Davis at [email protected]. This email is the most updated Tara Davis email found in 2026.
What is Tara Davis phone number?
Tara Davis phone number is +12146268121.
How to contact Tara Davis?
To contact Tara Davis send an email to [email protected]. If you want to call Tara Davis try calling on +12146268121. (updated on October 30, 2024)
What company does Tara Davis work for?
Tara Davis works for TIAA
What is Tara Davis's role at TIAA?
Tara Davis is Sr Manager - Complaince Officer
What industry does Tara Davis work in?
Tara Davis works in the Financial Services industry.
Tara Davis Email Addresses
Tara Davis Phone Numbers
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