Amy G. Howes
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 Goeldner Howes, who also goes by Amy Beth Goeldner, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1986. Amy had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 1999 - March 21, 2016
GREAT LAKES ADVISORS, LLC
February 12, 1997 - December 31, 2013
WINTRUST INVESTMENTS LLC
June 18, 1996 - January 30, 1997
ALEX. BROWN & SONS INCORPORATED
December 26, 1986 - February 15, 1996
PWMCO, LLC
Primary Firm SEC Registration
GREAT LAKES ADVISORS, LLC
CRD#: 110757 / SEC#: 801-16937
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
GREAT LAKES ADVISORS, LLC
CRD#: 110757 / SEC#: 801-16937
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,771 |
| AUM (Assets Under Management) | $ 15,298,949,943 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 09/27/2023 |
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.
