Marc 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.
Marc Amato was a registered financial advisor .
Marc is a previously registered financial advisor and started their career in finance in 1983. Marc had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2002 - February 8, 2006
QA3 FINANCIAL LLC
March 14, 2002 - February 8, 2006
QA3 FINANCIAL CORP.
October 6, 2000 - March 11, 2002
INSIGHT SECURITIES, INC.
November 2, 1995 - October 4, 2000
PRIM SECURITIES, INCORPORATED
January 24, 1992 - September 28, 1995
TRANSAMERICA FINANCIAL ADVISORS, INC.
October 20, 1983 - January 31, 1992
PRUCO SECURITIES, LLC.
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
No current employment
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.
