Pamela K. Samuels
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 Samuels, who also goes by Pamela Austin, Pamela K Duarte, Pamela K Samuels, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1979. Pamela had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2014 - January 6, 2021
TD AMERITRADE, INC.
July 30, 2014 - January 6, 2021
TD AMERITRADE, INC.
July 30, 2014 - January 6, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 23, 2014 - June 10, 2014
PARK AVENUE SECURITIES LLC
November 12, 2013 - June 10, 2014
PARK AVENUE SECURITIES LLC
February 26, 2010 - February 2, 2011
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 9, 2007 - February 5, 2009
WAMU INVESTMENTS, INC.
April 9, 2007 - February 5, 2009
WAMU INVESTMENTS, INC.
June 7, 2004 - March 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 2000 - March 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 1999 - December 11, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 30, 1992 - July 12, 1999
BA INVESTMENT SERVICES, INC.
October 30, 1989 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
March 30, 1988 - November 8, 1989
MORGAN STANLEY DW INC.
May 9, 1986 - February 23, 1988
A. G. EDWARDS & SONS, INC.
January 31, 1980 - May 22, 1986
UBS FINANCIAL SERVICES INC.
April 2, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 12
Date: 9/19/1981
NYSE Branch Manager ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 83 |
| Civil Event | 1 |
| Arbitration | 144 |
Red Flags
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