Amy C. Greenroyd
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 Greenroyd, who also goes by Amy C Tracey, Amy Christine Tracey, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 2005. Amy had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2019 - November 25, 2022
SECURITIES AMERICA, INC.
December 9, 2013 - April 29, 2017
ORCHARD SECURITIES, LLC
August 26, 2009 - July 10, 2012
TNP SECURITIES, LLC
January 2, 2009 - August 18, 2009
CABIN SECURITIES, INC.
September 17, 2008 - December 31, 2008
WILSON-DAVIS & CO., INC.
July 17, 2007 - November 21, 2007
WEDBUSH SECURITIES INC.
July 17, 2007 - November 21, 2007
WEDBUSH SECURITIES INC.
February 21, 2007 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
July 7, 2005 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
