Pamela M. Cavole
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 M Cavole, who also goes by Pamela Marie Cavole, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1992. Pamela had worked at 15 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2012 - February 12, 2013
PEAK WEALTH GROUP LLC
September 27, 2011 - December 31, 2011
PEAK WEALTH GROUP LLC
August 10, 2011 - February 22, 2012
PEAK BROKERAGE SERVICES, LLC
July 12, 2010 - August 10, 2011
CAPE SECURITIES INC.
May 8, 2008 - February 9, 2009
CAPE SECURITIES INC.
February 20, 2007 - December 31, 2007
RESOURCE HORIZONS GROUP LLC
February 16, 2007 - December 31, 2007
RESOURCE HORIZONS GROUP LLC
April 26, 2005 - October 6, 2006
RESOURCE HORIZONS GROUP LLC
April 25, 2005 - October 6, 2006
RESOURCE HORIZONS GROUP LLC
March 7, 2005 - April 26, 2005
NATIONWIDE SECURITIES, LLC
September 2, 2004 - October 1, 2004
OSAIC WEALTH, INC.
April 29, 2004 - September 22, 2004
HIGH MARK SECURITIES, INC.
September 26, 2002 - January 15, 2004
ALLSTATE FINANCIAL SERVICES, LLC
April 4, 2002 - May 13, 2002
QUICK & REILLY, INC.
September 8, 2000 - April 1, 2002
MORGAN STANLEY DW INC.
December 19, 1997 - September 29, 2000
CITIGROUP GLOBAL MARKETS INC.
May 17, 1994 - December 23, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1994 - May 2, 1994
ATLANTIC GENERAL FINANCIAL CORP.
December 15, 1993 - February 3, 1994
J.P. MORGAN SECURITIES LLC
June 29, 1993 - November 19, 1993
MML INVESTORS SERVICES, LLC
April 20, 1992 - April 20, 1993
MML INVESTORS SERVICES, 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
PEAK WEALTH GROUP LLC
CRD#: 150003 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 130 |
| AUM (Assets Under Management) | $ 37,239,893 |
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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