Jorge A. Amy
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.
Jorge Alfredo Amy, CFP® was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 2000. Jorge had worked at 7 firms and has passed the Series 63, Series 66, 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
Start date: 2006
Experience
July 14, 2016 - August 6, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 2016 - August 6, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 28, 2015 - April 27, 2016
AVANTAX ADVISORY SERVICES
April 28, 2015 - April 27, 2016
AVANTAX INVESTMENT SERVICES, INC.
January 16, 2014 - April 2, 2015
CUSO FINANCIAL SERVICES, L.P.
January 16, 2014 - April 2, 2015
CUSO FINANCIAL SERVICES, L.P.
November 11, 2010 - December 20, 2013
MSI FINANCIAL SERVICES, INC.
June 21, 2010 - December 20, 2013
MSI FINANCIAL SERVICES, INC.
August 19, 2003 - January 3, 2005
J.P. MORGAN SECURITIES LLC
June 21, 2000 - August 28, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 2000 - February 8, 2000
J.P. MORGAN SECURITIES INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
