Priscilla N. Adam
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Priscilla N Adam, who also goes by Priscilla Ames Adam, Priscilla Nawn Adam, Prescilla Ames Nawn, Priscilla Ames Nawn, was a registered financial professional .
Priscilla is a previously registered financial professional and started their career in finance in 1982. Priscilla had worked at 4 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2003 - August 26, 2010
DEAM INVESTOR SERVICES, INC.
April 18, 2001 - May 30, 2003
DEUTSCHE BANK SECURITIES INC.
March 22, 1991 - March 31, 2000
GOLDMAN SACHS & CO. LLC
February 19, 1982 - October 4, 1990
TRANSAMERICA FUND DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DEAM INVESTOR SERVICES, INC.
CRD#: 754 / SEC#: , 8-298
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
