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AK

Amy L. Kates

REGAL SECURITIES
Amherst, NY 14228
Some features on this profile are disabled
CRD#: 2715270
AK

Professional summary

Amy L Kates, who also goes by Amy Laura Kates, Amy Penkacik Kates, Amy Laura Penkacik, Amy Laura Penkacik-kates, is a registered financial professional currently at REGAL SECURITIES, INC. located in Amherst, New York.

Amy is registered as a RR (Registered Representative) and started their career in finance in 1996. Amy has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amy Laura Kates | Amy Penkacik Kates | Amy Laura Penkacik | Amy Laura Penkacik-Kates

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 Amy L Kates'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

August 3, 2012 - Present

REGAL SECURITIES, INC.

Office #1: 1404 Sweet Home Road Suite 12, Amherst, NY 14228
BD
CRD#: 7297
Amherst, NY
Past

July 20, 2012 - August 3, 2012

L.M. KOHN & COMPANY

BD
CRD#: 27913
CINCINNATI, OH
Past

April 7, 2009 - July 23, 2012

LEONARD & COMPANY

BD
CRD#: 36527
AMHERST, NY
Past

February 14, 2007 - April 15, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WILLIAMSVILLE, NY
Past

February 14, 2007 - April 15, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WILLIAMSVILLE, NY
Past

October 18, 2006 - February 20, 2007

KEYBANC CAPITAL MARKETS INC.

RIA
CRD#: 566
WILLIAMSVILLE, NY
Past

May 14, 1999 - February 20, 2007

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
WILLIAMSVILLE, NY
Past

November 4, 1998 - May 14, 1999

KEY INVESTMENTS INC.

BD
CRD#: 15873
CLEVELAND, OH
Past

September 4, 1998 - November 6, 1998

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

May 14, 1996 - September 4, 1998

ESSEX CAPITAL MARKETS, INC.

BD
CRD#: 11896
ROCHESTER, NY

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
California
(8/23/2023)
RR
Connecticut
(8/6/2012)
RR
Florida
(8/23/2021)
RR
Georgia
(11/9/2022)
RR
New York
(8/3/2012)
RR
North Carolina
(9/9/2020)
RR
Ohio
(1/15/2026)
RR
Pennsylvania
(8/3/2012)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/16/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/15/1996
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 7
Date: 5/13/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

RS
REGAL SECURITIES, INC.
E-OPTION | SUCCESS TRADER | REGAL WEALTH MANAGEMENT, INC. | REGAL SECURITIES, INC. | REGAL DISCOUNT SECURITIES, INC. | REGAL DISCOUNT SECURITIES | INVESTRADE DISCOUNT SECURITIES | HEARTLAND SECURITIES, INC.

CRD#: 7297 / SEC#: , 8-21765

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

Main Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025
Mailing Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025-3766
Phone number
(800) 786-9000
Established
Illinois since 05/06/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# 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)

Direct owners and executive officers

NamePositionCRD#
BOKIOS, GEORGECHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER718774
VILLAFLOR, ROBERT FUSTERSHAREHOLDER2374555
AKSOMITAITE, SKAISTEVICE PRESIDENT AND FINOP4852873
BOKIOS, EUGENIA THEADORA MSSENIOR VICE PRESIDENT & GENERAL COUNSEL2392199
BOKIOS, VICTORIA THEADORATREASURER/SECRETARY2421318
ENGELBRECHT, JEREMY AARONCHIEF COMPLIANCE OFFICER (INTERIM)3277607
HERRIN, SHAWN EVERETTPRESIDENT2311476

Disclosures

Regulatory Event11
Arbitration4

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

REGAL SECURITIES, INC.

CRD#: 7297Amherst, NY 14228

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