Amy Ko
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 Ko was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 2003. Amy had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2020 - November 12, 2020
SVB INVESTMENT SERVICES INC.
September 1, 2017 - November 12, 2020
SVB INVESTMENT SERVICES INC.
January 29, 2015 - August 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 27, 2015 - August 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 6, 2010 - May 14, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - May 14, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 10, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 5, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 23, 2003 - October 20, 2004
QUICK & REILLY, INC.
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
SVB INVESTMENT SERVICES INC.
CRD#: 168116 / SEC#: 801-78209, 8-70327
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,816 |
| AUM (Assets Under Management) | $ 1,465,036,204 |
Red Flags
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