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Kristina Amato

CRD# 4409186·Registered 2004 - 2019
Previously Registered: Being a previously registered professional could mean that Kristina 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.

Professional Summary

Kristina Amato, who also goes by Kristina Huang, was a registered financial advisor. Kristina was a previously registered financial professional and started their career in finance 2004 - 2019. Kristina had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Kristina Huang

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

22 years in the financial services industry

Current & Past Employments

GRV SECURITIES LLC·CRD# 138348
BD
New York, NY
April 25, 2014 - April 26, 2019
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC·CRD# 137432
RIA
New York, NY
May 21, 2012 - April 1, 2014
GUGGENHEIM INVESTMENT ADVISORS, LLC·CRD# 108263
RIA
New York, NY
November 15, 2007 - January 22, 2010
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC·CRD# 137432
RIA
New York, NY
November 15, 2007 - December 31, 2011
GUGGENHEIM INVESTOR SERVICES, LLC·CRD# 30096
BD
New York, NY
April 5, 2004 - April 1, 2014

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Current Firm

GS
GRV SECURITIES LLC

GROSVENOR SECURITIES LLC | GRV SECURITIES LLC

CRD#: 138348 / SEC#: 8-67160
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541

Mailing Address

900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541

Phone Number

(312) 506-6500

Established

Delaware since 08/18/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GCM GROSVENOR L.P.SOLE MEMBER108654
DANIEL, DAWNA LYNNECHIEF COMPLIANCE OFFICER5137048
HENRICH, DIANNA LEAMANAGING DIRECTOR4695780
MONTGOMERY, BURKE JOHNSONGENERAL COUNSEL5067591
SACKS, MICHAEL JAYMANAGER/CHIEF EXECUTIVE OFFICER2077424
SULLIVAN, KATHLEEN PATRICIAFINANCIAL AND OPERATIONS PRINCIPAL5099521

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Nov 2007About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2004About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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