Amy M. Owen
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 Melissa Owen, who also goes by Amy Melissa Patton, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1997. Amy had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2018 - July 19, 2019
PURSHE KAPLAN STERLING INVESTMENTS
August 12, 2011 - March 1, 2018
KESTRA INVESTMENT SERVICES, LLC
February 28, 2011 - April 8, 2011
INVESTMENT PROFESSIONALS, INC.
June 9, 2003 - November 18, 2009
KESTRA INVESTMENT SERVICES, LLC
August 24, 2000 - March 14, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 1997 - August 23, 2000
STEPHENS
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
