Pamela L. Kustas
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 Lou Kustas, who also goes by Pam Kustas, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1994. Pamela had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2006 - October 29, 2012
CARIS & COMPANY, INC.
April 12, 2004 - April 18, 2006
AGC PARTNERS
July 8, 2002 - April 6, 2004
CHARLES SCHWAB & CO., INC.
September 3, 2000 - April 6, 2004
UBS CAPITAL MARKETS L.P.
April 17, 1998 - September 7, 2000
CHARLES SCHWAB & CO., INC.
February 15, 1994 - May 27, 1998
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
February 15, 1994 - June 8, 1998
SIGNATOR INVESTORS, 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
Series 55
Date: 1/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
CARIS & COMPANY, INC.
CRD#: 104235 / SEC#: , 8-52713
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COX, THOMAS JAMES | CHIEF COMPLIANCE OFFICER | 2594977 |
Disclosures
| Regulatory Event | 1 |
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.
