Pamela A. Popp
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 Popp, who also goes by Pamela Freund, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1996. Pamela had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 79, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2019 - August 3, 2021
AEL FINANCIAL SERVICES, LLC
September 8, 2014 - August 3, 2021
LOCKTON INVESTMENT ADVISORS, LLC
September 8, 2014 - August 3, 2021
LOCKTON INVESTMENT SECURITIES, LLC
June 25, 2012 - June 16, 2014
CAPFINANCIAL SECURITIES, LLC.
February 15, 2012 - June 16, 2014
CAPFINANCIAL SECURITIES, LLC.
December 12, 2003 - February 2, 2012
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
February 23, 1996 - December 12, 2003
AMERICAN CENTURY INVESTMENT SERVICES 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
AEL FINANCIAL SERVICES, LLC
CRD#: 300285 / SEC#: , 8-70298
Contact information
FINRA licenses (37 States and Territories)
Documents
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.
