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AM

Amy K. Marshall

PAYDEN & RYGEL DISTRIBUTORS
Los Angeles, CA 90071-1536
Some features on this profile are disabled
CRD#: 5027041
AM

Professional summary

Amy K Marshall is a registered financial professional currently at PAYDEN & RYGEL DISTRIBUTORS located in Los Angeles, California.

Amy is registered as a RR (Registered Representative) and started their career in finance in 2005. Amy has worked at 3 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Amy K Marshall'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

April 14, 2011 - Present

PAYDEN & RYGEL DISTRIBUTORS

Office #1: 333 South Grand Ave 39th Floor, Los Angeles, CA 90071-1536
BD
CRD#: 29868
Los Angeles, CA
Past

November 1, 2010 - April 6, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

February 13, 2009 - March 11, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 10, 2005 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(4/14/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 12/20/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

P&
PAYDEN & RYGEL DISTRIBUTORS
PAYDEN & RYGEL DISTRIBUTORS

CRD#: 29868 / SEC#: , 8-44622

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
333 South Grand Ave 39th Floor, Los Angeles, CA 90071-1536
Mailing Address
333 South Grand Ave 39th Floor, Los Angeles, CA 90071-1536
Phone number
(213) 625-1900
Established
California since 02/13/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PAYDEN & RYGELSOLE SHAREHOLDER
HERSH, BRADLEY FORRESTCHIEF FINANICAL OFFICER2244165
HUGHES, JEREMY RICHARDCHIEF COMPLIANCE OFFICER4655297
PAYDEN, JOAN ANNCHAIRMAN, CEO, PRESIDENT AND DIRECTOR358476

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.

Company Information

PAYDEN & RYGEL DISTRIBUTORS

CRD#: 29868Los Angeles, CA 90071-1536

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