Pamela J. Embrey
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 J Embrey, who also goes by Pam Dix, Pamela Jean Dix, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1992. Pamela had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7 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
March 5, 2012 - January 25, 2013
SECURIAN FINANCIAL SERVICES, INC.
March 5, 2012 - January 25, 2013
SECURIAN FINANCIAL SERVICES, INC.
September 23, 2010 - February 24, 2012
COMMONWEALTH FINANCIAL NETWORK
September 23, 2010 - February 24, 2012
COMMONWEALTH FINANCIAL NETWORK
April 19, 2007 - September 7, 2010
CETERA INVESTMENT SERVICES LLC
April 19, 2007 - September 7, 2010
CETERA INVESTMENT SERVICES LLC
March 15, 2001 - April 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 1, 2001 - April 16, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 6, 1999 - January 30, 2001
DAVENPORT & COMPANY LLC
April 5, 1994 - May 21, 1999
CRESTAR SECURITIES CORPORATION
May 14, 1992 - March 15, 1994
BRANCH, CABELL & CO., 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
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
