Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Pamela? Claim Your ProfilePamela Groom is an experienced financial advisor with a proven track record of success in the industry. Pamela has been registered with the Securities and Exchange Commission (SEC) since 1997. Pamela has a strong understanding of the financial markets and a commitment to helping clients achieve their financial goals. Pamela is currently affiliated with Raymond James & Associates, Inc. Previously, Pamela was affiliated with UBS Financial Services Inc., J.P. Morgan Securities LLC, and Citigroup Global Markets Inc. Pamela is a Registered Representative (RR) and holds the Series 7, Series 9, Series 10, Series 14, Series 24, and SIE securities licenses.
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.
Please see note in schedule d - miscellaneous
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
FL
07/16/2019 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
PR
06/13/2018 - 07/09/2019
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (HATO REY PR)
NJ
10/23/2015 - 06/18/2019
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
07/29/2015 - 10/08/2015
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
FL
01/01/2010 - 07/17/2015
UBS FINANCIAL SERVICES INC. (MIAMI FL)
FL
04/02/2007 - 01/01/2010
UBS INTERNATIONAL INC. (MIAMI FL)
FL
02/10/2005 - 04/05/2007
CITIGROUP GLOBAL MARKETS INC. (PORT RICHEY FL)
TX
05/14/1997 - 11/29/2004
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BC
Issued 05/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 04/13/2018
Series 24 - General Securities Principal Examination
BC
Issued 02/02/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/06/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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