Pam Mullenbach
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.
Pam Mullenbach, who also goes by Pam Jean Dolce, Pamela Jean Dolce, Pam Jean Mullenbach, Pamela Jean Mullenbach, was a registered financial professional .
Pam is a previously registered financial professional and started their career in finance in 1994. Pam had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2017 - December 4, 2018
CHARLES SCHWAB & CO., INC.
August 14, 2017 - December 4, 2018
CHARLES SCHWAB & CO., INC.
September 29, 2006 - April 18, 2016
BLACKROCK INVESTMENT MANAGEMENT, LLC
September 29, 2006 - April 18, 2016
BLACKROCK INVESTMENTS, LLC
May 19, 2003 - September 29, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
May 19, 2003 - September 29, 2006
FAM DISTRIBUTORS, INC.
September 17, 2001 - May 6, 2003
AMUNDI DISTRIBUTOR US, INC.
January 12, 2000 - September 14, 2001
CHARLES SCHWAB & CO., INC.
September 20, 1999 - November 26, 1999
BANC ONE SECURITIES CORPORATION
January 28, 1998 - January 1, 1999
VOYA INVESTMENTS DISTRIBUTOR, LLC
November 4, 1996 - January 12, 1998
BANC ONE SECURITIES CORPORATION
July 31, 1995 - November 4, 1996
PIPER SANDLER & CO.
June 15, 1994 - August 16, 1995
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
