Amy E. Dewit
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 E Dewit, who also goes by Amy Elizabeth Dewit, Amy E Ellis, Amy Elizabeth Ellis, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 2003. Amy had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2018 - February 15, 2019
NEXT FINANCIAL GROUP, INC.
September 7, 2018 - February 15, 2019
NEXT FINANCIAL GROUP, INC.
June 28, 2011 - April 18, 2017
MORGAN STANLEY
June 1, 2009 - April 18, 2017
MORGAN STANLEY
January 12, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 30, 2003 - September 26, 2006
HOLLENCREST CAPITAL MANAGEMENT, 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
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
