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SP

Shirley Frances W. Pastrana

PINE DISTRIBUTORS LLC
KATY, TX
Some features on this profile are disabled
CRD#: 1550617
SP

Professional summary

Shirley Frances Wee Pastrana, who also goes by Shirley Frances Wee Pastrana, Shirley Kong Pastrana, Shirley Wee Pastrana, Shirley Frances K Wee, Shirley Kong Wee, Shirley Wee, is a registered financial professional currently at PINE DISTRIBUTORS LLC located in Katy, Texas.

Shirley Frances is registered as a RR (Registered Representative) and started their career in finance in 1987. Shirley Frances has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6, Series 9, Series 10 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shirley Frances Wee Pastrana | Shirley Kong Pastrana | Shirley Wee Pastrana | Shirley Frances K Wee | Shirley Kong Wee | Shirley Wee

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shirley Frances Wee Pastrana's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 24, 2024 - Present

PINE DISTRIBUTORS LLC

BD
CRD#: 323408
KATY, TX
Past

September 16, 2016 - January 8, 2024

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Katy, TX
Past

September 15, 2016 - January 8, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Austin, TX
Past

September 16, 2011 - August 9, 2016

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
ATLANTA, GA
Past

September 16, 2011 - August 9, 2016

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX
Past

June 6, 2011 - September 14, 2011

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
HOUSTON, TX
Past

May 12, 2011 - September 14, 2011

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
HOUSTON, TX
Past

November 28, 2007 - January 31, 2011

STANFORD GROUP COMPANY

RIA
CRD#: 39285
HOUSTON, TX
Past

November 28, 2007 - January 31, 2011

STANFORD GROUP COMPANY

BD
CRD#: 39285
HOUSTON, TX
Past

February 16, 2007 - November 26, 2007

AMERICAN GENERAL SECURITIES INCORPORATED

RIA
CRD#: 13626
HOUSTON, TX
Past

April 13, 2006 - November 26, 2007

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
HOUSTON, TX
Past

December 6, 2004 - April 3, 2006

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
HOUSTON, TX
Past

June 29, 1995 - January 22, 2004

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

August 12, 1991 - June 20, 1995

TECHNOLOGY FUNDING SECURITIES CORPORATION

BD
CRD#: 15074
Past

November 20, 1987 - May 30, 1989

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(5/24/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/9/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/11/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 8/9/1991
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/19/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/20/1999
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/12/1999
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/5/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PD
PINE DISTRIBUTORS LLC
PINE DISTRIBUTORS LLC

CRD#: 323408 / SEC#: , 8-71004

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
501 S. Cherry Street Suite 610, Denver, CO 80246
Mailing Address
501 S. Cherry Street Suite 610, Denver, CO 80246
Phone number
(720) 651-8092
Established
Delaware since 08/30/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PINE ADVISOR SOLUTIONS LLCMEMBER
FAIRBANKS, MARK ALANPRESIDENT1847318
LEVESQUE, DARYNCOO6482085
MOSCARITOLO, SUSAN KALLAICCO2618909
WAGSTAFF, CONNER FRED IIIFINOP1427591
WOODCOCK, ALEXANDER JAMESPFO6454017

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.

Company Information

PINE DISTRIBUTORS LLC

CRD#: 323408Katy, TX

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