Pamela R. Dick
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 Rose Dick, who also goes by Pamela Rose Baselice, Pam Dick, Pamela Dick, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1969. Pamela had worked at 8 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 12, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2014 - October 30, 2014
WISDOM PLANNING, LLC
August 22, 2012 - January 23, 2015
ANDREW GARRETT INC.
January 12, 2012 - January 13, 2015
CORDASCO FINANCIAL NETWORK, INC.
May 14, 2007 - January 5, 2012
RBC CAPITAL MARKETS, LLC
May 14, 2007 - January 5, 2012
RBC CAPITAL MARKETS, LLC
April 30, 2003 - May 9, 2006
TD AMERITRADE, INC.
April 17, 2002 - May 9, 2006
TD AMERITRADE, INC.
February 27, 1980 - August 6, 2001
CHARLES SCHWAB & CO., INC.
May 17, 1979 - February 25, 1980
E. W. SMITH CO.
April 28, 1969 - March 1, 1979
CINCINNATI ANALYSTS, 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
PC
Date: 5/1/1980
AMEX Put and Call ExamSeries 1
Date: 4/21/1969
Registered Representative ExaminationSeries 12
Date: 3/17/1984
NYSE Branch Manager ExaminationSeries 00
Date: 1/6/1975
General Securities Principal ExaminationCurrent Firm
WISDOM PLANNING, LLC
CRD#: 169417 / SEC#: 801-79167
Contact information
Red Flags
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