Amy M. Mattingly
Professional summary
Amy Marie Mattingly, who also goes by Amy Marie Ernst, is a registered financial professional currently at NATIONWIDE INVESTMENT SERVICES CORPORATION located in Louisville, Kentucky.
Amy is registered as a RR (Registered Representative) and started their career in finance in 2007. Amy has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Amy Marie Mattingly's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2019 - Present
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 21, 2011 - January 2, 2019
JEFFERSON NATIONAL SECURITIES CORPORATION
January 25, 2011 - March 14, 2011
CMG CAPITAL MANAGEMENT GROUP, INC.
May 24, 2007 - September 17, 2010
JEFFERSON NATIONAL 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
(1/2/2019)
Exams
Series 62
Date: 3/13/2018
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| AMBROZY, TINA S | PRESIDENT/BOARD DIRECTOR | 3149224 |
| HAWLEY, CRAIG ALAN | BOARD DIRECTOR | 4499105 |
| RABENSTINE, JAMES JAY | CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD DIRECTOR | 5250338 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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