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Detailed Report
PAMELA KAY MCCOMAS
PAMELA KAY BROADBENT
CRD#: 4381898
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 2 N. TAMIAMI TRAIL
SUITE 804
SARASOTA, FL 34236
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - 2014 (4 years)2 FIRMS2014 - 2015 (<1 year)2 FIRMS2015 - Present (9 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2003 - 2009 (6 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)2001 - 2002 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2004 - 2009 (5 years)IASALOMON SMITH BARNEY INC. (CRD# 7059)2002 - 2002 (<1 year)
Disclosure(s)
View By:
8/20/2014
Employment Separation After Allegations
License(s)

State Registrations

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Alabama 7/24/2018
B
Nebraska 7/20/2018
B
Alaska 10/15/2021
B
Nevada 5/10/2017
B
Arizona 8/11/2016
B
New Hampshire 1/3/2018
B
Arkansas 1/31/2023
B
New Jersey 3/13/2019
B
California 9/14/2015
B
New Mexico 11/9/2017
B
Colorado 10/22/2015
B
New York 11/7/2017
B
Connecticut 7/19/2018
B
North Carolina 10/27/2016
B
Delaware 2/7/2023
B
North Dakota 5/15/2018
B
District of Columbia 5/21/2020
B
Ohio 10/8/2019
B
Florida 8/4/2017
B
Oklahoma 12/19/2017
IA
Florida 12/22/2022
B
Oregon 9/14/2015
B
Georgia 12/19/2017
B
Pennsylvania 9/20/2019
B
Hawaii 2/27/2019
B
Rhode Island 1/4/2021
B
Idaho 4/1/2016
B
South Carolina 10/5/2017
B
Illinois 4/15/2019
B
South Dakota 6/18/2020
B
Indiana 1/17/2020
B
Tennessee 9/14/2015
B
Iowa 1/5/2022
B
Texas 9/14/2015
B
Kansas 1/18/2019
IA
Texas 9/30/2015
B
Kentucky 2/14/2023
B
Utah 8/17/2015
B
Louisiana 3/12/2019
IA
Utah 8/19/2015
B
Maine 1/24/2023
B
Vermont 1/23/2019
B
Maryland 12/13/2017
B
Virgin Islands 8/12/2024
B
Massachusetts 10/31/2016
B
Virginia 8/3/2017
B
Michigan 1/22/2020
B
Washington 10/7/2016
B
Minnesota 11/8/2017
B
West Virginia 8/21/2024
B
Mississippi 11/9/2022
B
Wisconsin 12/15/2017
B
Missouri 12/4/2017
B
Wyoming 11/7/2017
B
Montana 10/13/2016

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX 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)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
2 N. TAMIAMI TRAIL SUITE 804, SARASOTA, FL 34236
Registered with this firm since 8/19/2015
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
2 N. TAMIAMI TRAIL SUITE 804, SARASOTA, FL 34236
Registered with this firm since 8/17/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
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 12/15/2014 - 08/17/2015 WASHINGTON WEALTH MANAGEMENT (CRD#:155193) SALT LAKE CITY, UT
B
 12/02/2014 - 08/17/2015 NFP ADVISOR SERVICES, LLC (CRD#:42046) Salt Lake City, UT
IA
 08/25/2010 - 09/17/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) SALT LAKE CITY, UT
B
 08/23/2010 - 09/17/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) SALT LAKE CITY, UT
IA
 06/01/2009 - 09/13/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SALT LAKE CITY, UT
B
 06/01/2009 - 09/13/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SALT LAKE CITY, UT
IA
 04/07/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SALT LAKE CITY, UT
B
 06/04/2003 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SALT LAKE CITY, UT
IA
 01/09/2002 - 10/08/2002 SALOMON SMITH BARNEY INC. (CRD#:7059) SALT LAKE CITY, UT
B
 08/03/2001 - 10/08/2002 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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.
IA
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.