Pamela L. Williams
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 Lois Williams was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 2002. Pamela had worked at 7 firms and has passed the Series 66, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2012 - August 15, 2012
B. C. ZIEGLER AND COMPANY
July 9, 2012 - August 15, 2012
B. C. ZIEGLER AND COMPANY
November 16, 2007 - December 31, 2011
GREAT LAKES ADVISORS, LLC
January 8, 2007 - December 31, 2011
WINTRUST INVESTMENTS LLC
June 1, 2004 - December 31, 2011
WINTRUST INVESTMENTS LLC
May 27, 2004 - December 7, 2006
FOCUSED INVESTMENTS L.L.C.
January 3, 2003 - May 26, 2004
CITICORP INVESTMENT SERVICES
June 24, 2002 - October 31, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
June 6, 2002 - October 31, 2002
IDS LIFE INSURANCE COMPANY
June 6, 2002 - October 31, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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
B. C. ZIEGLER AND COMPANY
CRD#: 61 / SEC#: 801-19699, 8-94
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ZIEGLER COMPANIES, INC. | PARENT COMPANY | |
| DAVID, ANGELIQUE ATHIENA | EMD, GENERAL COUNSEL, CORPORATE SECRETARY, COO | 5445800 |
| HERMANN, DANIEL JOSEPH | CEO AND PRESIDENT | 1790977 |
| JEFFERSON, RYAN T | MANAGING DIRECTOR, CFO & DIRECTOR | 5844031 |
| KERR, MARCLETTA R | DIRECTOR, CHIEF COMPLIANCE OFFICER | 7463114 |
| STROM, KEVIN LOUIS | EMD HEAD OF CAPITAL MARKETS | 1595516 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 2 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Wisconsin | ERA - Withdrawn | 3/3/2025 |
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.
