AB
Amy E. Brothers
VANGUARD MARKETING
Malvern, PA 19355
Some features on this profile are disabled
CRD#: 3170053
AB
Professional summary
Amy Elizabeth Brothers, who also goes by Amy Brothers, Amy Elizabeth Neill, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Amy is registered as a RR (Registered Representative) and started their career in finance in 1999. Amy has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Amy Brothers | Amy Elizabeth Neill
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.
CRS (Client Relationship Summary) - BD
Click below to view Amy Elizabeth Brothers's 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®
NoneExperience
Current
January 18, 2018 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
Malvern, PA
Past
February 24, 2011 - December 4, 2017
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
Past
February 8, 2006 - March 4, 2011
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
Past
March 5, 2003 - June 6, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
August 9, 2001 - January 31, 2003
ARCHON SECURITIES, LLC
BD
CRD#: 46146
PHOENIX, AZ
Past
April 12, 2000 - March 19, 2001
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
May 21, 1999 - March 31, 2000
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
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
Alabama(8/6/2018)
RR
Alaska(8/6/2018)
RR
Arizona(8/6/2018)
RR
Arkansas(8/6/2018)
RR
California(1/18/2018)
RR
Colorado(8/6/2018)
RR
Connecticut(8/6/2018)
RR
Delaware(8/6/2018)
RR
District of Columbia(8/6/2018)
RR
Florida(8/6/2018)
RR
Georgia(8/6/2018)
RR
Hawaii(8/6/2018)
RR
Idaho(8/6/2018)
RR
Illinois(8/6/2018)
RR
Indiana(8/6/2018)
RR
Iowa(8/6/2018)
RR
Kansas(8/6/2018)
RR
Kentucky(8/6/2018)
RR
Louisiana(8/6/2018)
RR
Maine(8/6/2018)
RR
Maryland(8/6/2018)
RR
Massachusetts(8/6/2018)
RR
Michigan(8/6/2018)
RR
Minnesota(8/6/2018)
RR
Mississippi(8/6/2018)
RR
Missouri(8/6/2018)
RR
Montana(8/6/2018)
RR
Nebraska(8/6/2018)
RR
Nevada(8/6/2018)
RR
New Hampshire(8/6/2018)
RR
New Jersey(8/6/2018)
RR
New Mexico(8/6/2018)
RR
New York(8/6/2018)
RR
North Carolina(8/6/2018)
RR
North Dakota(8/6/2018)
RR
Ohio(8/6/2018)
RR
Oklahoma(8/6/2018)
RR
Oregon(8/6/2018)
RR
Pennsylvania(8/6/2018)
RR
Puerto Rico(8/6/2018)
RR
Rhode Island(8/6/2018)
RR
South Carolina(8/6/2018)
RR
South Dakota(8/6/2018)
RR
Tennessee(8/6/2018)
RR
Texas(8/6/2018)
RR
Utah(8/6/2018)
RR
Vermont(8/6/2018)
RR
Virgin Islands(8/6/2018)
RR
Virginia(8/6/2018)
RR
Washington(8/6/2018)
RR
West Virginia(8/6/2018)
RR
Wisconsin(8/6/2018)
RR
Wyoming(8/6/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
