Pamela C. Preciado
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 Christine Preciado, who also goes by Pamela Christine Williams, Pamela Williams, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1995. Pamela had worked at 7 firms and has passed the Series 65, Series 63 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
September 2, 2005 - January 18, 2013
CUNA BROKERAGE SERVICES, INC.
September 2, 2005 - January 18, 2013
CUNA BROKERAGE SERVICES, INC.
May 19, 2004 - August 16, 2005
IFMG SECURITIES, INC.
May 19, 2004 - August 16, 2005
IFMG SECURITIES, INC.
December 12, 2002 - February 23, 2004
ATLAS SECURITIES, LLC
June 15, 1999 - December 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 1998 - December 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 6, 1997 - December 15, 1997
CITIGROUP GLOBAL MARKETS INC.
April 1, 1996 - June 17, 1997
DAIN RAUSCHER INCORPORATED
March 10, 1995 - March 5, 1996
A. G. EDWARDS & SONS, INC.
February 3, 1995 - March 16, 1995
CITIGROUP GLOBAL MARKETS 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
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
