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Amy Hillenbrand

CRD# 3258882·Registered 1999 - 2013
Previously Registered: Being a previously registered professional could mean that Amy 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.

Professional Summary

Amy Hillenbrand, who also goes by Amy Marie Hillenbrand, was a registered financial advisor. Amy was a previously registered financial professional and started their career in finance 1999 - 2013. Amy had worked at 7 firms and has passed the Series 63, Series 55 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Amy Marie Hillenbrand

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

27 years in the financial services industry

Current & Past Employments

WTS PROPRIETARY TRADING GROUP LLC·CRD# 148117
BD
New York, NY
May 23, 2013 - November 15, 2013
WORLD TRADE FINANCIAL CORPORATION·CRD# 42638
BD
New York, NY
December 3, 2012 - March 11, 2013
CHARDAN CAPITAL MARKETS LLC·CRD# 120128
BD
New York, NY
June 22, 2011 - November 29, 2012
SEABOARD SECURITIES, INC.·CRD# 755
BD
Florham Park, NJ
October 3, 2007 - November 16, 2010
SEABOARD SECURITIES, INC.·CRD# 755
BD
Florham Park, NJ
June 3, 2004 - January 3, 2007
EQUITABLE DISTRIBUTORS, LLC·CRD# 25900
BD
Charlotte, NC
March 7, 2003 - May 24, 2004
PERSHING ADVISOR SOLUTIONS LLC·CRD# 36671
BD
Jersey City, NJ
February 14, 2000 - February 21, 2003
HENNION & WALSH, INC.·CRD# 25766
BD
Parsippany, NJ
August 16, 1999 - February 4, 2000

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Current Firm

WP
WTS PROPRIETARY TRADING GROUP LLC

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117 / SEC#: 8-67986
BD
Terminated by SEC on 03/06/2015

Contact Information

Established

Delaware since 07/09/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WTS PTG HOLDINGS, LLCOWNER—
CLARK, CHESTER EDMONDCEO2486219
DISCENZA, PETER VINCENT JRCHIEF COMPLIANCE OFFICER4386342
JONES, WILLIAM RUSSELLOPERATIONS MANAGER2948251
LI, XIAOYANFINOP4465893

Disclosures

Regulatory Event

6

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1999About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Mar 2000

Series 7 — General Securities Representative Examination

Passed Aug 1999About the Series 7 exam

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CRS (Client Relationship Summary)

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

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