Christine M. Amato
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.
Christine Michelle Amato, who also goes by Christine Amato, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1982. Christine had worked at 16 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2022 - July 19, 2025
CHARLES SCHWAB & CO., INC.
January 26, 2022 - July 19, 2025
CHARLES SCHWAB & CO., INC.
April 13, 2018 - October 14, 2022
TD AMERITRADE, INC.
April 13, 2018 - December 31, 2022
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 26, 2017 - March 24, 2018
TD AMERITRADE CLEARING, INC.
January 12, 2016 - December 31, 2022
TD AMERITRADE, INC.
October 25, 2000 - May 8, 2001
MUNIGROUP.COM, LLC
October 23, 2000 - January 12, 2015
TRADEWEB DIRECT LLC
October 16, 1998 - October 23, 2000
PORTSMOUTH FINANCIAL SERVICES
March 23, 1994 - September 11, 1998
FIXED INCOME SECURITIES, INC.
April 2, 1993 - December 22, 1993
MONY SECURITIES CORPORATION
January 7, 1991 - November 11, 1992
SENTRA SECURITIES CORPORATION
October 9, 1989 - November 11, 1992
GIRARD SECURITIES, INC.
February 6, 1989 - October 30, 1992
SPELMAN & CO., INC.
February 9, 1987 - January 17, 1989
FIRST AFFILIATED SECURITIES, INC.
December 20, 1984 - December 16, 1986
WEDBUSH SECURITIES INC.
June 27, 1984 - September 23, 1985
LEHMAN BROTHERS INC.
May 20, 1982 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
