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AP

Amanda H. Poe

CETERA INVESTMENT SERVICES LLC
Birmingham, AL 35203
Some features on this profile are disabled
CRD#: 2333052
AP

Professional summary

Amanda Horner Poe, who also goes by Amanda Walker Horner, Mandy Horner, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Birmingham, Alabama.

Amanda is registered as a RR (Registered Representative) and started their career in finance in 1994. Amanda has worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amanda Walker Horner | Mandy Horner

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Amanda Horner Poe's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 26, 2023 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1900 5th Ave N, Birmingham, AL 35203
BD
CRD#: 15340
Birmingham, AL
Past

March 11, 2016 - July 10, 2023

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
BIRMINGHAM, AL
Past

July 8, 2015 - March 4, 2016

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
BIRMINGHAM, AL
Past

May 26, 2006 - October 7, 2015

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

March 21, 2003 - July 1, 2004

INTL CUSTODY & CLEARING SOLUTIONS INC.

BD
CRD#: 23952
BIRMINGHAM, AL
Past

February 10, 2000 - March 26, 2003

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

April 20, 1998 - February 7, 2000

INTL CUSTODY & CLEARING SOLUTIONS INC.

BD
CRD#: 23952
BIRMINGHAM, AL
Past

October 14, 1997 - April 29, 1998

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

December 1, 1994 - October 1, 1997

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/26/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/21/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/9/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/15/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/24/2010
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/2/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/24/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT SERVICES LLC
BANKERS SYSTEMS BROKERAGE SERVICES, INC. | PRIMEVEST FINANCIAL SERVICES, INC. | CETERA INVESTMENT SERVICES LLC | CETERA FINANCIAL INSTITUTIONS

CRD#: 15340 / SEC#: 801-45573, 8-31826

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
400 First St. S. Suite 300, St. Cloud, MN 56301
Mailing Address
P.o. Box 283, St. Cloud, MN 56302-0283
Phone number
(320) 656-4300
Established
Delaware since 11/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV 2A AND APPENDIX 1 (10/9/2013)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
CASEY, SEAN PATRICKVICE PRESIDENT2156290
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
FRIES, MATTHEW NEIL KALANIVICE PRESIDENT2723824
GOK, LISA ANNESECRETARY5059738
HANAU, JENNIFER LEIGHVICE PRESIDENT2898698
HOLWEGER, KIMBERLEY ANNCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
KIRCHER, NICHOLE MARIEVICE PRESIDENT2876887
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERMANAGER2799860
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
REINHOLZ, CHRISTOPHER JONVICE PRESIDENT, DIRECTOR OF TRADING1961258
RUMMEL, LEANN RENEEMANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER1965155
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYVICE PRESIDENT2272183
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
WEITHAUS, GWENDOLYNCHIEF COMPLIANCE OFFICER2445442

Disclosures

Regulatory Event11
Arbitration3

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.

Company Information

CETERA INVESTMENT SERVICES LLC

CRD#: 15340Birmingham, AL 35203

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