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Tammy Roden

Chief Compliance Officer at Regions Investment Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

1
Past adviser firms
6
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Tammy Roden is Chief Compliance Officer of Regions Investment Management, Inc., a Birmingham investment adviser managing $20.1B. Tammy Roden has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at Regions Investment Management

Title on Schedule A
Chief Compliance Officer
Control
Tammy Roden is a control person of Regions Investment Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Tammy Roden has held the filed role since December 2022.

The firm

Regions Investment Management, Inc.
Birmingham, AL

Form ADV filed 29 July 2026

$20.1B AUM0 clients24 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed Series 63 and SIE · 2018
  2. Investment Advisors
    – · 4 years
    Birmingham, AL · Adviser representative · Firm CRD 15708
  3. Passed Series 66 · 2008
  4. Passed Series 53 · 2004
  5. Passed Series 24 · 2002
  6. Passed Series 7 · 2000

Registrations and exams

Broker registration; no current adviser registration. Tammy Roden has passed 6 qualifying exams.

Examinations

Series 6328 September 2018
Name
Uniform Securities Agent State Law Examination
Series 6618 November 2008
Name
Uniform Combined State Law Examination
Series 5326 July 2004
Name
Municipal Securities Principal Examination
Series 2411 January 2002
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 75 July 2000
Name
General Securities Representative Examination

Individual record

Full name
Tammy Ridley Roden
CRD
1613745
Firm
Regions Investment Management, Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Tammy Roden work?

Tammy Roden has been Chief Compliance Officer of Regions Investment Management, Inc. since December 2022, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 29 July 2026

Does Tammy Roden have a current investment-adviser registration?

Tammy Roden has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Tammy Roden passed?

Tammy Roden has passed 6 licensing exams: the Series 7, Series 24, Series 53, Series 66, Series 63 and SIE. The earliest, the Series 7, was passed in July 2000.

Source: IAPD individual record, checked 17 October 2026

Where was Tammy Roden previously registered as an investment adviser?

Tammy Roden has past investment-adviser registrations through Investment Advisors, November 2008 to September 2012, across 1 firm.

Source: IAPD individual record, checked 17 October 2026

Leadership at Regions Investment Management

Sources

  1. IAPD individual record, CRD 1613745. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Regions Investment Management, Inc., filed 29 July 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Tammy Roden or Regions Investment Management, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.