Amy P. Maclaughlin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Amy Prout Maclaughlin, who also goes by Amy Prout, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1981. Amy had worked at 7 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2006 - May 10, 2016
AVONDALE PARTNERS, LLC
July 1, 2003 - August 26, 2005
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 20, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 14, 1999 - July 16, 1999
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
December 24, 1981 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
AVONDALE PARTNERS, LLC
CRD#: 46838 / SEC#: 801-70070, 8-51550
Contact information
FINRA licenses (2 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
