Sydney L. 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.
Sydney Lee Pemberton, who also goes by Pemberton L Sydney, was a registered financial professional .
Sydney is a previously registered financial professional and started their career in finance in 2015. Sydney had worked at 3 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
November 22, 2022 - September 25, 2023
ALPACA SECURITIES LLC
February 11, 2021 - April 16, 2021
ALPACA SECURITIES LLC
April 3, 2017 - February 10, 2021
WADDELL & REED
April 3, 2017 - February 10, 2021
WADDELL & REED
June 28, 2016 - March 13, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 2016 - March 13, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 11, 2015 - May 19, 2016
WADDELL & REED
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
ALPACA SECURITIES LLC
CRD#: 288202 / SEC#: , 8-69928
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPACADB, INC. | SOLE MEMBER | |
| DIAZ, ZACHARY LUCIANO | SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER | 6027965 |
| DUSSEAULT, DAVID STANLEY | PRESIDENT AND COO | 2819891 |
| GARZA, FELIPE | AML COMPLIANCE OFFICER | 4613815 |
| LEE, TONY | GLOBAL HEAD OF BROKERAGE | 5618563 |
| SAUGSTAD, MONIQUE D | CHIEF COMPLIANCE OFFICER | 4127241 |
| TAIFI, MEHDI | CHIEF RISK OFFICER | 5977322 |
| WETTERWALD, TAMMY CAO | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6113272 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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