Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Pamela? Claim Your ProfilePamela Putnam Smith is a financial advisor at LPL Financial LLC in BRANFORD, CT. Pamela has been in the industry since March 26, 1997. Pamela has been registered with LPL Financial LLC since December 19, 2018. Pamela holds licenses for Series 7, Series 31, Series 63, Series 65, and SIE. Pamela has previously worked for MML Investors Services, LLC, MSI Financial Services, Inc., Ameriprise Financial Services, Inc., Securities America, Inc., and Citigroup Global Markets Inc.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
12/19/2018 - Present
LPL Financial LLC (BRANFORD CT)
CT
03/25/2017 - 12/24/2018
MML INVESTORS SERVICES, LLC (GUILFORD CT)
CT
10/11/2013 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (GUILFORD CT)
CT
04/09/2009 - 10/21/2013
AMERIPRISE FINANCIAL SERVICES, INC. (GREENWICH CT)
CT
07/24/2009 - 02/10/2011
SECURITIES AMERICA, INC. (GREENWICH CT)
CT
03/27/1997 - 04/23/2009
CITIGROUP GLOBAL MARKETS INC. (STAMFORD CT)
IA
Issued 04/17/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/04/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 03/26/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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