Pamela A. Lavene
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 Ann Lavene, who also goes by Pamela Ann Kleikamp, Pamela A Lavene, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1994. Pamela had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2009 - November 23, 2015
LARIMER CAPITAL CORPORATION
December 17, 2002 - May 20, 2009
RMIN SECURITIES, INC.
August 12, 1997 - December 31, 2002
MUTUAL SERVICE CORPORATION
September 20, 1995 - September 8, 1997
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 6, 1994 - September 8, 1995
GUARDIAN INVESTOR SERVICES LLC
Primary Firm SEC Registration
LARIMER CAPITAL CORPORATION
CRD#: 18189 / SEC#: 801-29070, 8-36594
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
LARIMER CAPITAL CORPORATION
CRD#: 18189 / SEC#: 801-29070, 8-36594
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARMEL, ADAM MORMAN | PRESIDENT/CHIEF COMPLIANCE OFFICER | 1074710 |
| CARMEL, KATHLEEN HAWKINS | SECRETARY |
Regulatory assets under management
| Total Number of Accounts | 428 |
| AUM (Assets Under Management) | $ 156,240,746 |
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.
