Pantea Groen
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.
Pantea Groen, who also goes by Pani Assadi, Pantea Assadi, Pani Groen, was a registered financial professional .
Pantea is a previously registered financial professional and started their career in finance in 2008. Pantea had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2018 - December 31, 2019
CAMDEN FINANCIAL SERVICES
December 19, 2012 - August 18, 2016
DEUTSCHE BANK SECURITIES INC.
December 19, 2012 - August 18, 2016
DEUTSCHE BANK SECURITIES INC.
November 19, 2009 - November 1, 2012
UBS FINANCIAL SERVICES INC.
November 18, 2009 - November 1, 2012
UBS FINANCIAL SERVICES INC.
February 4, 2008 - November 5, 2009
UBS FINANCIAL SERVICES INC.
January 24, 2008 - November 5, 2009
UBS FINANCIAL SERVICES INC.
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
CAMDEN FINANCIAL SERVICES
CRD#: 19925 / SEC#: , 8-37303
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UCCIFERRI, LOUIE | PRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, AML-CO | 1156956 |
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.
