Abbey R. Pemberton
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.
Abbey Reynolds Pemberton, who also goes by Jessica Abbey Reynolds, was a registered financial professional .
Abbey is a previously registered financial professional and started their career in finance in 2007. Abbey had worked at 2 firms and has passed the Series 66, SIE, Series 99 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
July 24, 2012 - December 15, 2017
HATTERAS CAPITAL DISTRIBUTORS, LLC
October 24, 2007 - June 29, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 14, 2007 - June 29, 2009
NORTHWESTERN MUTUAL INVESTMENT 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
HATTERAS CAPITAL DISTRIBUTORS, LLC
CRD#: 143365 / SEC#: , 8-67555
Contact information
FINRA licenses (53 States and Territories)
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.
