Amy E. O'bannon
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 Elizabeth O'bannon, who also goes by Amy Elizabeth Arnold N/a, Amy Elizabeth Arnold, Amy Elizabeth Obannon, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1995. Amy had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 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
May 6, 2021 - October 12, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 10, 2015 - December 6, 2018
CETERA INVESTMENT SERVICES LLC
October 29, 2015 - December 6, 2018
CETERA INVESTMENT ADVISERS LLC
August 12, 2013 - April 20, 2015
TRUIST INVESTMENT SERVICES, INC.
August 1, 2013 - April 20, 2015
TRUIST INVESTMENT SERVICES, INC.
December 10, 2008 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
March 5, 2008 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
July 5, 2006 - March 1, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
February 28, 2006 - March 1, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
April 15, 2005 - February 28, 2006
TRUSTMARK SECURITIES, INC.
March 29, 2004 - April 18, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 20, 2001 - April 18, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 24, 1995 - May 1, 2001
UBS FINANCIAL SERVICES 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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
