Amy J. Bennett
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 Jeanne Bennett was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1990. Amy had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2012 - January 6, 2014
ALPHAMAX DISTRIBUTORS, L.L.C.
March 9, 2011 - February 24, 2012
GUGGENHEIM DISTRIBUTORS, LLC
August 13, 2008 - December 1, 2009
BLACKROCK FUND DISTRIBUTION COMPANY
January 27, 2006 - December 31, 2009
BLACKROCK EXECUTION SERVICES
August 1, 2001 - November 1, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 1, 2001 - November 1, 2001
OSAIC FA, INC.
May 13, 1992 - January 18, 1996
GT GLOBAL, INC.
January 30, 1990 - April 24, 1992
MANULIFE WOOD LOGAN, INC.
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
ALPHAMAX DISTRIBUTORS, L.L.C.
CRD#: 8258 / SEC#: , 8-24931
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSBORNE, MATTHEW CHARLES | CHIEF EXECUTIVE OFFICER & CIO, CCO | 2949871 |
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.
