Amy L. Fuchs
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 Lynn Fuchs, who also goes by Amy L. Weiss, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 2000. Amy had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2014 - October 9, 2014
STONEX SECURITIES INC.
April 29, 2011 - March 7, 2013
UBS FINANCIAL SERVICES INC.
April 20, 2011 - March 7, 2013
UBS FINANCIAL SERVICES INC.
June 6, 2008 - April 11, 2011
MORGAN KEEGAN & COMPANY, LLC
May 30, 2008 - April 11, 2011
MORGAN KEEGAN & COMPANY, LLC
August 2, 2007 - June 10, 2008
AMERIPRISE ADVISOR SERVICES, INC.
February 16, 2005 - June 10, 2008
AMERIPRISE ADVISOR SERVICES, INC.
July 20, 2004 - March 30, 2005
PALI CAPITAL, INC.
October 11, 2000 - July 22, 2004
UBS SECURITIES 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
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
