Amy W. Lacey
Professional summary
Amy Walsh Lacey, who also goes by Amy Margaret Lacey, Amy Walsh Lacey, Amy Margaret Walsh, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Milwaukee, Wisconsin.
Amy is registered as a RR (Registered Representative) and started their career in finance in 1994. Amy has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Amy Walsh Lacey's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 111 E. Wisconsin Ave. Suite 900, Milwaukee, WI 53202March 5, 2019 - May 6, 2022
TRANSAMERICA INVESTORS SECURITIES, LLC
February 18, 2016 - February 26, 2019
ONEAMERICA SECURITIES, INC.
June 8, 2015 - January 6, 2016
VOYA FINANCIAL PARTNERS, LLC
May 1, 2014 - May 22, 2015
MML DISTRIBUTORS, LLC
March 31, 2008 - May 1, 2014
MML INVESTORS SERVICES, LLC
September 26, 2007 - March 6, 2008
TRANSAMERICA INVESTORS SECURITIES, LLC
April 13, 2004 - August 14, 2007
ONEAMERICA SECURITIES, INC.
May 20, 1996 - October 13, 2000
DEAM INVESTOR SERVICES, INC.
May 24, 1994 - February 5, 1996
D.J. MOSIER & ASSOCIATES, 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
(5/12/2022)
(5/12/2022)
(11/4/2024)
(11/4/2024)
(5/12/2022)
Exams
FINRA
Current Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Company Information
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109Milwaukee, WI 53202TRUST BUT VERIFY
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