Pamela S. Franzen
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 Stephanie Franzen, who also goes by Pam Franzen, Pam Wit, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1998. Pamela had worked at 5 firms and has passed the Series 63, SIE 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
February 20, 2018 - January 30, 2023
THE LEADERS GROUP, INC.
January 12, 2017 - March 14, 2018
AUSDAL FINANCIAL PARTNERS, INC.
March 16, 2015 - September 7, 2016
THE LEADERS GROUP, INC.
March 27, 2014 - March 18, 2015
OSAIC SERVICES, INC.
November 13, 2008 - December 3, 2013
PRUCO SECURITIES, LLC.
March 5, 1998 - October 10, 2008
WATERSTONE FINANCIAL GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
