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MA

Michelle L. Amato

Some features on this profile are disabled
CRD#: 3012391
MA

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.

Michelle Lea Amato, who also goes by Michelle Lea Miller, was a registered financial professional .

Michelle is a previously registered financial professional and started their career in finance in 1998. Michelle had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michelle Lea Miller

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

August 16, 2011 - March 15, 2012

GUGGENHEIM INVESTOR SERVICES, LLC

BD
CRD#: 30096
NEW YORK, NY
Past

August 4, 2011 - March 15, 2012

GUGGENHEIM INVESTMENT ADVISORS, LLC

RIA
CRD#: 108263
CHICAGO, IL
Past

June 1, 2009 - August 14, 2009

MORGAN STANLEY

RIA
CRD#: 149777
RIVERWOODS, IL
Past

June 1, 2009 - August 14, 2009

MORGAN STANLEY

BD
CRD#: 149777
RIVERWOODS, IL
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
RIVERWOODS, IL
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
RIVERWOODS, IL
Past

December 12, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
RIVERWOODS, IL
Past

December 12, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
RIVERWOODS, IL
Past

March 8, 2001 - December 9, 2002

BANC OF AMERICA SECURITIES LLC

RIA
CRD#: 26091
CHICAGO, IL
Past

January 1, 1999 - December 9, 2002

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

August 25, 1998 - November 24, 1998

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/23/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/29/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 9/11/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/24/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

GI
GUGGENHEIM INVESTOR SERVICES, LLC
GUGGENHEIM INVESTMENTS | INTER-ATLANTIC SECURITIES CORPORATION | GUGGENHEIM SECURITIES, LLC | GUGGENHEIM PARTNERS | GUGGENHEIM INVESTOR SERVICES, LLC

CRD#: 30096 / SEC#: , 8-44742

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

Main Address
330 Madison Avenue, New York, NY 10017
Mailing Address
330 Madison Avenue, New York, NY 10017
Phone number
(212) 901-9405
Established
Delaware since 12/31/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GUGGENHEIM FUNDS SERVICES, LLCMEMBER
CHAN, YING ZPRINCIPAL FINANCIAL AND OPERATIONS OFFICER4956885
DILORENZO, DINA MARIEMANAGING EXECUTIVE2664787
SAPERSTEIN, ROBERT ANDREWCHIEF COMPLIANCE OFFICER2567876

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

GUGGENHEIM INVESTOR SERVICES, LLC

CRD#: 30096

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