Phulmatie Netram
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.
Phulmatie Netram, who also goes by Diane Netram, was a registered financial professional .
Phulmatie is a previously registered financial professional and started their career in finance in 1999. Phulmatie had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2011 - November 14, 2012
AUGMENT SECURITIES INC.
February 9, 2007 - July 23, 2009
AUGMENT SECURITIES INC.
June 2, 2006 - February 5, 2007
JANNEY MONTGOMERY SCOTT LLC
December 16, 1999 - June 14, 2006
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AUGMENT SECURITIES INC.
CRD#: 28373 / SEC#: , 8-43665
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
