Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Pamela? Claim Your ProfilePamela Carty is an investment advisor representative with RBC Capital Markets, LLC. Pamela has been in the industry since February 6, 1981. Pamela has held previous positions at UBS Financial Services Inc., Paine Webber Incorporated, Everen Securities, Inc., Bateman Eichler, Hill Richards, Incorporated, Drexel Burnham Lambert Incorporated, and Blyth Eastman Dillon & Co. Incorporated. Pamela is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed to sell securities in multiple states. Pamela holds several industry licenses, including Series 63, Series 66, Series 7, Series 9, Series 10, and SIE.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
OR
09/30/2024 - Present
RBC Capital Markets, LLC (Bend OR)
NJ
12/13/2001 - 01/14/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
12/11/1993 - 01/28/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
MO
09/04/1990 - 11/29/1993
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
06/12/1989 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NA
02/12/1988 - 06/13/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
02/19/1980 - 02/29/1988
PAINEWEBBER INCORPORATED
NA
11/01/1976 - 12/07/1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
BOTH
Issued 04/04/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/17/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/29/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/27/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Pamela Carty is the right advisor for you? Invested Better is here to help.
