Pamela L. Rockley
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 Louise Rockley, who also goes by Pamela L. Rockley, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1995. Pamela had worked at 15 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 52TO, Series 6TO, Series 57TO, Series 82TO, Series 22TO, SIE, Series 87, Series 55, Series 7, Series 10, Series 9, Series 39, Series 14, Series 26, Series 53, Series 4 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
September 6, 2022 - July 1, 2024
MERAKI GLOBAL ADVISORS LLC
October 1, 2020 - August 31, 2022
STERN BROTHERS & CO.
August 29, 2019 - February 19, 2020
SIEBERT WILLIAMS SHANK & CO., LLC
March 12, 2019 - September 30, 2019
CPOD MARKETS LLC
January 9, 2017 - May 1, 2017
VON KOHORN RESEARCH & ADVISORY, INC.
October 19, 2012 - July 31, 2013
PPG WEST LLC
October 11, 2012 - July 31, 2013
PHOENIX DERIVATIVES GROUP, LLC
September 20, 2012 - December 31, 2016
VON KOHORN RESEARCH & ADVISORY, INC.
December 21, 2011 - December 22, 2011
PTS ASSET MANAGEMENT
November 10, 2009 - October 24, 2014
AUERBACH GRAYSON & COMPANY LLC
September 2, 2009 - August 7, 2018
NEWOAK CAPITAL MARKETS LLC
April 29, 2009 - June 27, 2012
VON KOHORN RESEARCH & ADVISORY, INC.
March 25, 2008 - September 7, 2011
PHOENIX DERIVATIVES GROUP, LLC
July 17, 2006 - January 31, 2008
NEWOAK CAPITAL MARKETS LLC
October 23, 2003 - January 31, 2008
NEWOAK CAPITAL MARKETS LLC
March 22, 2002 - May 30, 2003
CONSTITUTION CAPITAL CORP.
February 20, 2002 - May 30, 2003
CONSTITUTION CAPITAL CORP.
November 2, 1999 - May 26, 2000
CARLIN EQUITIES, LLC
November 13, 1996 - April 7, 1999
MILLENNIUM SECURITIES CORP.
June 29, 1995 - November 20, 1996
CHASE INVESTMENT SERVICES CORP.
January 10, 1995 - March 27, 1995
MORGAN STANLEY DW INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 55
Date: 3/28/2005
Limited Representative-Equity Trader ExamCurrent Firm
MERAKI GLOBAL ADVISORS LLC
CRD#: 297930 / SEC#: , 8-70160
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SVMP HOLDINGS LLC | DIRECT OWNER | |
| PEKE HOLDINGS LLC | DIRECT OWNER | |
| ARNOLD, BENJAMIN RICHARD | FOUNDER & MANAGING PARTNER | 4997870 |
| CARTER, ANA R | FINOP/CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 4424794 |
| KIM, CHRISTINA CAROLINE | EXECUTIVE ASSISTANT TO FOUNDER & MANAGING PARTNER | 7891414 |
| KURTIS, SCOTT ROBERT | CHIEF COMPLIANCE OFFICER & AML COMPLIANCE OFFICER | 4437685 |
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.
