Pamela M. Bromley
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.
Pamela Marie Bromley, who also goes by Pamela Marie Beal, Pamela M Bromley, Pamela Marie Bromley-brown, Pamela Marie Brown, Pamela Bulpitt, Pamela Marie Lecky, Pamela Lecky, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1983. Pamela had worked at 22 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2011 - May 8, 2012
LAUREL WEALTH ADVISORS, INC.
October 8, 2008 - July 2, 2009
CROWN CAPITAL SECURITIES, L.P.
April 11, 2006 - October 29, 2007
EQUITABLE ADVISORS, LLC
April 11, 2006 - October 29, 2007
EQUITABLE ADVISORS, LLC
October 20, 2005 - March 30, 2006
GREAT NORTHERN FINANCIAL SECURITIES, INC.
June 9, 2005 - October 21, 2005
LPL FINANCIAL LLC
June 9, 2005 - October 21, 2005
LPL FINANCIAL LLC
January 6, 2005 - June 6, 2005
CUNA BROKERAGE SERVICES, INC.
January 6, 2005 - June 6, 2005
CUNA BROKERAGE SERVICES, INC.
May 27, 2004 - December 17, 2004
CITICORP INVESTMENT SERVICES
March 31, 2003 - April 14, 2004
IDS LIFE INSURANCE COMPANY
March 31, 2003 - April 14, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
August 15, 2001 - October 28, 2002
VERAVEST INVESTMENTS, INC.
October 3, 1991 - July 10, 2001
CUNA BROKERAGE SERVICES, INC.
October 29, 1990 - October 30, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 29, 1990 - October 30, 1991
PRUCO SECURITIES, LLC.
September 7, 1989 - June 27, 1990
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
June 16, 1989 - July 29, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1987 - April 5, 1988
AGFC INVESTMENT SECURITIES
March 6, 1987 - November 11, 1987
GFC SECURITIES CORPORATION
February 3, 1986 - February 27, 1987
UBS FINANCIAL SERVICES INC.
October 24, 1985 - February 24, 1986
MUNICICORP OF CALIFORNIA
September 12, 1985 - September 26, 1985
CHRISTOPHER WEIL & COMPANY, INC
February 19, 1985 - June 24, 1985
TRAFALGAR SECURITIES CORP.
August 9, 1983 - May 14, 1984
MILLBROOK INVESTOR SECURITIES, INC.
June 19, 1983 - November 10, 1983
AETNA LIFE INSURANCE AND ANNUITY COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LAUREL WEALTH ADVISORS, INC.
CRD#: 157139 / SEC#: 801-72334
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,198 |
| AUM (Assets Under Management) | $ 2,383,239,170 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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