Amy S. Kuhns
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 Sue Kuhns was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1997. Amy had worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4 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
February 10, 2003 - May 1, 2003
ALLFIRST BROKERAGE CORPORATION
October 7, 2000 - June 9, 2021
M&T SECURITIES, INC.
May 14, 1997 - October 7, 2000
KEYSTONE BROKERAGE, LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ALLFIRST BROKERAGE CORPORATION
CRD#: 17531 / SEC#: , 8-35232
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANUFACTURERS & TRADERS TRUST COMPANY | SHAREHOLDER | |
| CARPENTERJR, ROBERT L | COMPTROLLER | 2816817 |
| GOLD, RICK ALVIN | DIRECTOR | 4354551 |
| HYNES, TIMOTHY JOSEPH | DIRECTOR | 4354667 |
| JACKSON, KATHY ALEXANDRA | DIRECTOR | 1448813 |
| MILLER, NANCY A | ASSISTANT SECRETARY | 2589624 |
| MOY, MARYLOVE HEARTY | E.V.P., S.R.O.P., C.R.O.P. | 1857181 |
| MULLICAN, MARK ALLEN | PRESIDENT, CEO, DIRECTOR & COMPLIANCE OFFICER | 2583134 |
| ODLUM, MICHAEL GREGORY | DIRECTOR | 703911 |
| ORDWAY, DEBRA JANE | C.F.O. | 4401380 |
| RATLIFFE, JEROME ANTHONY | SECRETARY | 4354679 |
| THORESON, GREGORY KENT | ASSISTANT SECRETARY | 2589627 |
Disclosures
| Regulatory Event | 3 |
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.
