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Detailed Report
PAMELA S RASMUSSEN
PAM STACY PETERS, PAMELA STACY PETERS, PAMELA STACEY RASMUSSEN, PAMELA STACY RASMUSSEN
CRD#: 2958981
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 227 West Monroe Street
Suite 3400
Chicago, IL 60606
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2007 (1 year)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2010 (2 years)2 FIRMS2011 - Present (13 years)BWAYNE HUMMER INVESTMENTS L.L.C. (CRD# 875)2003 - 2005 (1 year)BE*TRADE SECURITIES LLC (CRD# 29106)2002 - 2003 (1 year)BMORGAN STANLEY DW INC. (CRD# 7556)2000 - 2002 (1 year)BT. ROWE PRICE INVESTMENT SERVI... (CRD# 8348)1998 - 1999 (1 year)IAWAYNE HUMMER ASSET MANAGEMENT ... (CRD# 110757)2003 - 2006 (2 years)
License(s)

State Registrations

B
Alabama 9/24/2024
B
Missouri 5/6/2016
B
Arizona 4/4/2011
B
Montana 7/23/2020
B
Arkansas 10/11/2019
B
New Jersey 12/23/2016
B
California 4/4/2011
B
New Mexico 2/14/2023
B
Colorado 1/13/2016
B
New York 1/2/2013
B
Connecticut 1/17/2018
B
North Carolina 4/4/2011
B
Delaware 9/3/2015
B
North Dakota 9/3/2015
B
District of Columbia 9/28/2021
B
Ohio 7/24/2018
B
Florida 4/4/2011
B
Oklahoma 1/10/2017
B
Georgia 11/27/2017
B
Oregon 12/20/2016
B
Illinois 4/4/2011
B
Pennsylvania 11/30/2016
IA
Illinois 4/4/2011
B
Puerto Rico 9/3/2015
B
Indiana 4/4/2011
B
South Carolina 4/12/2016
B
Iowa 4/4/2011
B
Tennessee 2/9/2012
B
Kansas 1/18/2022
B
Texas 8/16/2016
B
Louisiana 9/13/2024
IA
Texas 9/28/2016
B
Maryland 9/3/2015
B
Utah 1/7/2021
B
Massachusetts 2/1/2018
B
Virginia 4/4/2011
B
Michigan 11/8/2016
B
Washington 12/20/2016
B
Minnesota 4/4/2011
B
Wisconsin 4/4/2011
B
Mississippi 9/13/2024

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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MORGAN STANLEY (CRD#:149777)
227 West Monroe Street Suite 3400, Chicago, IL 60606
Lake Villa, IL
Registered with this firm since 4/4/2011
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MORGAN STANLEY (CRD#:149777)
227 West Monroe Street Suite 3400, Chicago, IL 60606
Lake Villa, IL
Registered with this firm since 4/4/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
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 07/28/2008 - 11/30/2010 MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. (CRD#:111135) HIGHLAND PARK, IL
B
 07/28/2008 - 11/30/2010 MESIROW FINANCIAL, INC. (CRD#:2764) HIGHLAND PARK, IL
IA
 04/02/2007 - 08/05/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) RIVERWOODS, IL
B
 04/02/2007 - 08/05/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) RIVERWOODS, IL
IA
 05/06/2005 - 04/02/2007 MORGAN STANLEY (CRD#:7556) RIVERWOODS, IL
B
 05/06/2005 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) RIVERWOODS, IL
IA
 05/20/2003 - 01/24/2006 WAYNE HUMMER ASSET MANAGEMENT COMPANY (CRD#:110757) CHICAGO, IL
B
 05/19/2003 - 04/15/2005 WAYNE HUMMER INVESTMENTS L.L.C. (CRD#:875) CHICAGO, IL
B
 03/01/2002 - 05/09/2003 E*TRADE SECURITIES LLC (CRD#:29106) JERSEY CITY, NJ
B
 05/24/2000 - 02/20/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 01/14/1998 - 04/16/1999 T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348) BALTIMORE, MD
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.