Amy C. Grindstaff
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 Christine Grindstaff, who also goes by Amy C Grindstaff, Amy Christine Grindstaff, Amy Grindstaff, Grindstaff, Amy C Jones, Amy Christine Jones, Amy C Windfeldt, Amy Christine Windfeldt, Amy Windfeldt, Amy Christine Windfeldt, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 2001. Amy had worked at 16 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 10, Series 9, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2024 - December 6, 2024
VOYA FINANCIAL ADVISORS, INC.
June 16, 2022 - January 19, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 19, 2021 - February 14, 2022
MML INVESTORS SERVICES, LLC
July 11, 2019 - February 13, 2021
ONEAMERICA SECURITIES, INC.
June 10, 2015 - October 17, 2017
EMPOWER FINANCIAL SERVICES, INC.
June 25, 2014 - December 24, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 25, 2013 - September 16, 2013
SANDLAPPER SECURITIES, LLC
January 6, 2012 - March 6, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 23, 2011 - January 6, 2012
WORLD GROUP SECURITIES, INC.
July 18, 2007 - November 10, 2009
CAPWEST SECURITIES, INC.
July 18, 2007 - November 10, 2009
CAPWEST SECURITIES, INC.
January 3, 2007 - July 16, 2007
EMPOWER FINANCIAL SERVICES, INC.
August 17, 2006 - December 19, 2006
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
October 7, 2005 - February 7, 2006
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
October 7, 2005 - May 23, 2006
NATIONAL PLANNING CORPORATION
May 17, 2005 - October 3, 2005
PIPER SANDLER & CO.
May 17, 2005 - October 3, 2005
PIPER SANDLER & CO.
June 25, 2004 - May 6, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 16, 2003 - May 6, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 18, 2002 - September 5, 2003
CETERA ADVISORS LLC
February 12, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
February 12, 2001 - October 28, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
Series 52TO
Date: 3/18/2024
Municipal Securities Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
