Pamela Y. Allen
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 Yvonne Allen, who also goes by Pamela Yvonne Gilbert, Pamela Yvonne Gilbert, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1993. Pamela had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 14, Series 4 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
May 13, 2016 - September 27, 2016
SIGNATOR INVESTORS, INC.
May 7, 2009 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 27, 1996 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 21, 1993 - September 24, 1996
WILLIAM O'NEIL SECURITIES
February 23, 1993 - April 14, 1993
CHATFIELD DEAN & 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
Series 8
Date: 3/27/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SIGNATOR INVESTORS, INC.
CRD#: 468 / SEC#: 801-56298, 8-13995
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ARMSTRONG, ABIGAIL MARIE | VICE PRESIDENT, COUNSEL AND ASST SECRETARY | 1239945 |
| CAPPUCCIO, PAUL ANTHONY | ASSISTANT VICE PRESIDENT | 2151678 |
| COLLINS, BRIAN DOUGLAS | VICE PRESIDENT | 6445623 |
| DORVAL, STEVEN FRANCIS | DIRECTOR | 4163630 |
| HORACK, THOMAS JOSEPH | VP & DIRECTOR | 861315 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| KWONG-LOI, YIU | ASSISTANT SECRETARY | 6639555 |
| LANNIGAN, TRACY KANE | SECRETARY | 6944688 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT & DIRECTOR | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER & TREASURER | 4364402 |
| SCORPIO, CARON MARIE | ASSISTANT VICE PRESIDENT | 4275948 |
| SPADAFORA, CRAIG ALAN | DIRECTOR | 3184320 |
| TERRY, JOSEPH DEAN | CHIEF COMPLIANCE OFFICER & DIRECTOR | 4612910 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
| TUCKER, BRIAN THOMAS | ASSISTANT SECRETARY | 2285090 |
| VACON, MELISSA M | VICE PRESIDENT & DIRECTOR | 6189199 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 12 |
| Bond | 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.
