Pamela J. Beigh
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 Jean Beigh, who also goes by Pamela Jean Doyle, Pamela Jean Mcnay, Pamela Jean Millson, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 2000. Pamela had worked at 10 firms and has passed the Series 66, SIE, Series 7 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
June 29, 2020 - July 4, 2021
CETERA WEALTH SERVICES, LLC
April 6, 2011 - March 29, 2018
LPL FINANCIAL LLC
March 30, 2011 - March 29, 2018
LPL FINANCIAL LLC
February 22, 2011 - March 7, 2011
OSAIC SERVICES, INC.
February 22, 2011 - March 7, 2011
OSAIC WEALTH, INC.
July 13, 2010 - March 7, 2011
FSC SECURITIES CORPORATION
June 22, 2010 - March 7, 2011
FSC SECURITIES CORPORATION
April 17, 2009 - June 2, 2010
INVEST FINANCIAL CORPORATION
April 14, 2009 - June 2, 2010
INVEST FINANCIAL CORPORATION
October 18, 2006 - December 13, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
October 18, 2006 - December 13, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
September 13, 2006 - September 29, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 11, 2006 - September 29, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 22, 2005 - July 20, 2006
INVEST FINANCIAL CORPORATION
February 22, 2005 - July 20, 2006
INVEST FINANCIAL CORPORATION
April 8, 2002 - March 3, 2003
MML INVESTORS SERVICES, LLC
March 13, 2001 - January 17, 2002
FSC SECURITIES CORPORATION
June 26, 2000 - November 24, 2000
CDH CAPITAL CORPORATION
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
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
