Amy S. Hanophy

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CRD#: 2809916

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 Susan Hanophy, who also goes by Amy Susan Jackson, was a registered financial professional .

Amy is a previously registered financial professional and started their career in finance in 1996. Amy had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Amy Susan Jackson

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 6, 2021 - May 17, 2024

WEALTHSPIRE RETIREMENT ADVISORY

RIA

CRD#: 121254

Denver, CO

Past

April 1, 2019 - January 5, 2021

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

Denver, CO

Past

March 29, 2019 - January 4, 2021

BOK FINANCIAL ASSET MANAGEMENT, INC.

RIA

CRD#: 106507

Denver, CO

Past

December 20, 2017 - April 1, 2019

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

PHOENIX, AZ

Past

April 20, 2016 - July 26, 2017

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

PHOENIX, AZ

Past

August 8, 2014 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

Denver, CO

Past

August 8, 2014 - April 1, 2019

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Denver, CO

Past

November 23, 2010 - April 1, 2019

WEALTHSPIRE RETIREMENT ADVISORY

RIA

CRD#: 121254

ALISO VIEJO, CA

Past

August 19, 2010 - August 8, 2014

FINANCIAL TELESIS INC

RIA

CRD#: 31012

DENVER, CO

Past

August 19, 2010 - August 8, 2014

FINANCIAL TELESIS INC

CRD#: 31012

DENVER, CO

Past

May 5, 2010 - August 16, 2010

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

January 13, 2009 - March 31, 2010

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DENVER, CO

Past

January 5, 2009 - March 31, 2010

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DENVER, CO

Past

May 31, 2007 - November 12, 2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

DENVER, CO

Past

May 31, 2007 - November 12, 2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

August 24, 2005 - March 26, 2007

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DENVER, CO

Past

June 13, 2003 - March 26, 2007

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DENVER, CO

Past

January 1, 1999 - December 31, 2002

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

DENVER, CO

Past

November 18, 1997 - December 31, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

December 5, 1996 - November 10, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/23/2005

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/12/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/3/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/10/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/20/1999

General Securities Sales Supervisor - Options Module Examination

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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Contact information

Main Address

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

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.

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Advisor Monitoring

Firm Stability Insights

Amy S. Hanophy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL ASSET MANAGEMENT, INC.

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

WEALTHSPIRE RETIREMENT ADVISORY

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

EMPOWER FINANCIAL SERVICES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 66

Date: 8/23/2005

Series 65

Date: 12/12/1996

Series 63

Date: 12/6/1996

SIE

Date: 10/1/2018

Series 7

Date: 12/3/1996

Series 10

Date: 11/10/1999

Series 9

Date: 9/20/1999

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

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