Pamela K. Cioccio
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 Kay Cioccio, who also goes by Pam Cioccio, Pamela K Cioccio, Pamela Kay Milligan, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 2000. Pamela had worked at 12 firms and has passed the Series 66, SIE 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
November 29, 2022 - March 22, 2023
CETERA WEALTH SERVICES, LLC
November 29, 2022 - March 22, 2023
CETERA WEALTH SERVICES, LLC
May 14, 2020 - September 10, 2021
CITIZENS SECURITIES, INC.
May 14, 2020 - September 10, 2021
CITIZENS SECURITIES, INC.
October 15, 2018 - February 14, 2019
W&S BROKERAGE SERVICES, INC.
August 17, 2017 - August 30, 2018
EQUITABLE ADVISORS, LLC
July 6, 2017 - August 30, 2018
EQUITABLE ADVISORS, LLC
October 6, 2016 - March 14, 2017
AE WEALTH MANAGEMENT, LLC
February 2, 2016 - March 18, 2016
OSAIC WEALTH, INC.
January 29, 2015 - November 23, 2015
NATIONWIDE SECURITIES, LLC
April 12, 2013 - December 23, 2013
TRUSTMONT ADVISORY GROUP, INC.
April 12, 2013 - December 23, 2013
TRUSTMONT FINANCIAL GROUP, INC.
June 18, 2010 - February 25, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2001 - February 25, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 2001 - March 22, 2001
IDS LIFE INSURANCE COMPANY
February 20, 2001 - March 22, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
October 10, 2000 - December 14, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
