Pamela S. Goodwin
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 Sue Goodwin, who also goes by Pamela S Goodwin, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1984. Pamela had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, 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
July 24, 2001 - June 22, 2018
CADARET, GRANT & CO., INC.
February 14, 2001 - July 17, 2001
ALLSTATE FINANCIAL SERVICES, LLC
June 22, 1998 - January 16, 2001
CADARET, GRANT & CO., INC.
March 8, 1997 - June 1, 1998
LEIGH BALDWIN & CO., LLC
August 21, 1996 - January 20, 1997
INDEPENDENT FINANCIAL SECURITIES, INC.
April 12, 1996 - August 9, 1996
LEIGH BALDWIN & CO., LLC
September 26, 1995 - March 5, 1996
SIGNAL SECURITIES, INC.
February 1, 1995 - June 23, 1995
FISERV INVESTOR SERVICES, INC.
September 22, 1992 - February 1, 1995
CAPITAL BROKERAGE CORPORATION
March 16, 1992 - April 7, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 16, 1991 - September 3, 1992
CADARET, GRANT & CO., INC.
May 21, 1984 - January 29, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 21, 1984 - January 29, 1991
EQUITABLE ADVISORS, LLC
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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
