Wanda L. Amos
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.
Wanda Lee Amos, who also goes by Wanda Lee Faubus, was a registered financial professional .
Wanda is a previously registered financial professional and started their career in finance in 1992. Wanda had worked at 8 firms and has passed the Series 66, Series 63, Series 65, Series 99TO, SIE, Series 7, Series 10, Series 9 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
April 30, 2012 - September 5, 2025
NEXT FINANCIAL GROUP, INC.
April 30, 2012 - September 5, 2025
NEXT FINANCIAL GROUP, INC.
January 1, 2008 - March 23, 2012
RBC CAPITAL MARKETS, LLC
December 10, 2007 - March 23, 2012
RBC CAPITAL MARKETS, LLC
February 27, 2006 - November 2, 2006
BBVA COMPASS INVESTMENT SOLUTIONS, INC
June 17, 2004 - February 15, 2006
STARLIGHT FUNDING INVESTMENTS, LLC
July 31, 1997 - June 26, 2003
FROST BROKERAGE SERVICES, INC.
June 6, 1995 - April 28, 1997
BANK UNITED SECURITIES CORP.
April 14, 1994 - June 2, 1995
LPL FINANCIAL LLC
March 11, 1992 - September 8, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
