Amy L. Marsh
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 Lou Marsh, who also goes by Amy Lou Hepfer, Amy L Marsh, was a registered financial advisor .
Amy is a previously registered financial advisor and started their career in finance in 1994. Amy had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2006 - August 31, 2009
VICUS CAPITAL, INC.
March 16, 2006 - September 11, 2009
WALNUT STREET SECURITIES, INC.
November 18, 1994 - February 24, 2006
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
VICUS CAPITAL, INC.
CRD#: 116021 / SEC#: 801-60628
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
VICUS CAPITAL, INC.
CRD#: 116021 / SEC#: 801-60628
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,058 |
| AUM (Assets Under Management) | $ 2,574,468,218 |
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.
