Patrick Amaya

GBS RETIREMENT SERVICES

Rolling Meadows, IL 60008

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CRD#: 4519000

Professional summary

Patrick Amaya is a registered financial advisor currently at GBS RETIREMENT SERVICES, INC. located in Rolling Meadows, Illinois.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Patrick has worked at 12 firms and has passed the Series 66, Series 6TO, Series 52TO, Series 99TO, SIE, Series 31, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

1.) GBS INSURANCE AND FINANCIAL SERVICES - 1/23/2019 - 21820 Burbank Blvd, Suite 301, Woodland Hills, CA 93065 - Area Compliance Counsel - Provide compliance and legal support to an insurance marketing organization owned by Gallagher, Not Invt Rel, Compliance for fixed insurance products, 35 hrs/mo; 35 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Amaya's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Patrick Amaya's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 25, 2020 - Present

GBS RETIREMENT SERVICES, INC.

Office #1: 2850 Golf Road, Rolling Meadows, IL 60008Office #2: 2050 Main Street, Ste. 1250, Irvine, CA 92614

RIA

CRD#: 34889

Rolling Meadows, IL

Current

June 25, 2020 - Present

GBS RETIREMENT SERVICES, INC.

Office #1: 2850 Golf Road, Rolling Meadows, IL 60008Office #2: 2050 Main Street, Ste. 1250, Irvine, CA 92614

RIA

CRD#: 34889

Rolling Meadows, IL

Past

September 3, 2019 - June 22, 2020

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

February 28, 2018 - December 31, 2018

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Riverside, CA

Past

February 26, 2018 - December 31, 2018

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Riverside, CA

Past

October 26, 2012 - April 5, 2016

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

March 22, 2012 - May 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEWPORT BEACH, CA

Past

December 1, 2011 - May 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEWPORT BEACH, CA

Past

December 17, 2009 - November 2, 2011

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

December 16, 2009 - November 2, 2011

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

January 28, 2008 - November 7, 2008

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

NEWPORT BEACH, CA

Past

January 28, 2008 - November 7, 2008

GIRARD SECURITIES, INC.

CRD#: 18697

NEWPORT BEACH, CA

Past

June 1, 2007 - January 25, 2008

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CITY OF INDUSTRY, CA

Past

January 30, 2007 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

CITY OF INDUSTRY, CA

Past

January 30, 2007 - January 25, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CITY OF INDUSTRY, CA

Past

January 24, 2005 - January 4, 2007

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

IRVINE, CA

Past

January 24, 2005 - January 4, 2007

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

April 23, 2003 - January 4, 2005

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

ANAHEIM, CA

Past

April 23, 2003 - January 4, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

May 24, 2002 - April 7, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/25/2020)

Colorado
(6/25/2020)

Florida
(6/25/2020)

Illinois
(6/25/2020)

IAR

Illinois
(6/26/2020)

Michigan
(6/25/2020)

Missouri
(6/25/2020)

New Jersey
(6/25/2020)

New York
(6/25/2020)

Ohio
(6/25/2020)

IAR

Ohio
(6/25/2020)

Pennsylvania
(6/25/2020)

Texas
(6/25/2020)

IAR

Texas
(7/2/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/13/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/3/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/23/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/24/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 4/10/2006

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/21/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GBS RETIREMENT SERVICES, INC.

GALLAGHER BENEFIT SERVICES OF NEW YORK, INC. | GBS RETIREMENT SERVICES, INC.

CRD#: 34889 / SEC#: , 8-46433

Illinois

Registered Investment Advisory firm - SEC (8/21/2007 Approved)

New York

Registered Investment Advisory firm - SEC (10/26/2009 Terminated)

Ohio

Registered Investment Advisory firm - SEC (9/11/2007 Approved)

Texas

Registered Investment Advisory firm - SEC (12/13/2007 Limited)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2850 Golf Road 8th Floor, Rolling Meadows, IL 60008

Mailing Address

2850 Golf Road 8th Floor, Rolling Meadows, IL 60008

Phone number

(951) 977-2671

Established

New York since 08/19/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (11 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
GALLAGHER BENEFIT SERVICES, INC.	OWNER
AMAYA, PATRICK	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	4519000
MCCLARY, AMY G	VICE PRESIDENT, GLOBAL TAX
ZIEBELL, WILLIAM F	CEO/DIRECTOR

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.

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Advisor Monitoring

Firm Stability Insights

Patrick Amaya

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Amaya's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Patrick Amaya's CRS (Customer Relationship Summary).

Certified licenses

Experience

GBS RETIREMENT SERVICES, INC.

THE LEADERS GROUP, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

PACIFIC SELECT DISTRIBUTORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/13/2002

Series 6TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 7/3/2002

Series 7

Date: 5/23/2002

Series 4

Date: 10/24/2006

Series 53

Date: 4/10/2006

Series 24

Date: 2/21/2006

FINRA

Current Firm

GBS RETIREMENT SERVICES, INC.

Contact information

FINRA licenses (11 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

GBS RETIREMENT SERVICES, INC.

TRUST BUT VERIFY

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