Paul J. Amos
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.
Paul Joseph Amos, who also goes by Paul J Amos, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1974. Paul had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2016 - April 2, 2018
KESTRA ADVISORY SERVICES, LLC
January 19, 2006 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
January 17, 2006 - April 2, 2018
KESTRA INVESTMENT SERVICES, LLC
July 3, 2002 - January 19, 2006
OSAIC FA, INC.
June 14, 2002 - January 19, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 14, 2002 - January 19, 2006
OSAIC FA, INC.
February 11, 1991 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
February 11, 1991 - June 21, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 31, 1985 - March 10, 1986
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 9, 1980 - January 23, 1991
PIERRE R. SMITH & CO.
May 14, 1974 - January 31, 1980
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 1
Date: 5/10/1974
Registered Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
