Pamela A. Coleman
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 A Coleman, who also goes by Pamela Coleman, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1995. Pamela had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2016 - March 22, 2019
RABO SECURITIES USA, INC.
July 24, 2012 - September 23, 2014
HSBC SECURITIES (USA) INC.
August 22, 2011 - July 9, 2012
NATWEST MARKETS SECURITIES INC.
January 12, 2005 - October 6, 2009
ABN AMRO INCORPORATED
October 18, 2002 - May 19, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 18, 2002 - May 19, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 2, 2002 - September 17, 2002
LASALLE FINANCIAL SERVICES, INC.
December 13, 2001 - September 17, 2002
LASALLE FINANCIAL SERVICES, INC.
September 16, 1997 - December 12, 2001
GOLDMAN SACHS & CO. LLC
June 3, 1996 - July 29, 1997
CITICORP INVESTMENT SERVICES
September 15, 1995 - May 28, 1996
PRUCO SECURITIES, 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
Series 8
Date: 6/22/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RABO SECURITIES USA, INC.
CRD#: 122657 / SEC#: , 8-65525
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTRECHT-AMERICA HOLDINGS, INC | SOLE SHAREHOLDER | |
| AMIN, SHREYA | SECRETARY | 7368182 |
| BASSETT, DAVID FRANCIS | CHAIRMAN | 2802027 |
| CHESTER, WILLIAM PETER | DIRECTOR | 5868288 |
| DEMAZURE PELLETIER, CHRISTINE MARIE | DIRECTOR | 5481370 |
| KITTEL, CHRISTOPHER FREDERICK | CHIEF COMPLIANCE OFFICER | 2718043 |
| KORMANEK, SHAWN PATRICK | DIRECTOR | 7310810 |
| LAMPER, KATHERINE S | DIRECTOR | 5202959 |
| LAZAROV, DUSAN OBRAD | DIRECTOR | 7904295 |
| MARTENS, ANDREA MARIE | FINANCIAL AND OPERATIONS PRINCIPAL | 1187593 |
| PASDAR, NADER | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4702711 |
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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