Pamela Rae Graham

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-03-02
MD	RA	APPROVED	2001-01-19

TX RA
APPROVED_RES

Since 2016-03-02
MD RA
APPROVED

Since 2001-01-19

Branch Locations

Sykesville, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Sykesville	MD	01/2001	Present

01/2001 → Present

Lpl Financial Llc

Sykesville, MD

Other Businesses

(1) 02/10/2009: LETIP OF HOWARD COUNTY - NOT INV REL - COMMUNITY, CIVIC AND CHARITABLE BOARD - 5% OF TIME SPENT - LOCAL PROFESSIONALS' NETWORKING GROUP: NO TITIES, DUTIES, OR AUTHORITY (2) 10/28/2014: NO BUSINESS NAME - NOT INV REL - HOME BASED - NOTARY PUBLIC - START 01/01/2001 - NO TIME SPENT - PROVIDE NOTARY SERVICES (3) 05/15/2015: PRO WEALTH MANAGEMENT LLC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - START 05/01/2015 - 260 HR/MO 170 DURING SECS TRDG HRS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-09-14
S63	Uniform Securities Agent State Law Examination	1991-06-05

S65 Uniform Investment Adviser Law Examination

1999-09-14
S63 Uniform Securities Agent State Law Examination

1991-06-05

Other Names

Pamela Rae Teague
Pamela R Tauber
Pamela Rae Tauber

View on SEC IAPD