Amy S. Violette
Professional summary
Amy S Violette, who also goes by Amy Hansen Baumgardner, Amy Hansen Bumgardner, Amy Hansen Bumgardner, Amy Elizabeth Hansen, Amy Elizabeth Hansen, Amy Elizabeth Schultz, Amy Elizabeth Schultz, Amy Schultz VIolette, Amy Violette, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in Charlotte, North Carolina.
Amy is registered as a RR (Registered Representative) and started their career in finance in 2000. Amy has worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Amy S Violette's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 2, 2023 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202July 3, 2013 - December 1, 2022
LPL FINANCIAL LLC
March 5, 2010 - June 25, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 2002 - February 23, 2010
WELLS FARGO CLEARING SERVICES, LLC
August 21, 2000 - March 12, 2001
IDS LIFE INSURANCE COMPANY
August 21, 2000 - March 12, 2001
AMERIPRISE FINANCIAL SERVICES, 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
(2/2/2023)
Exams
24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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