Amy S. Violette
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 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, 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 66, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2023 - March 31, 2026
WELLS FARGO SECURITIES, LLC
July 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
Exams
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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