Pamela A. Schneider
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 Schneider, who also goes by Pamela Ann Dercks, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1994. Pamela had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 62, 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
May 6, 2011 - December 31, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 6, 2011 - December 31, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 28, 2010 - May 17, 2011
M&I INVESTMENT MANAGEMENT CORP.
September 15, 2005 - March 30, 2010
M&I FINANCIAL ADVISORS, INC
December 12, 1994 - May 17, 2011
M&I FINANCIAL ADVISORS, INC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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 62
Date: 9/7/2011
Corporate Securities Limited Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
