AW
Amber L. Willis
CANTOR FITZGERALD & CO.
Memphis, TN 38119
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CRD#: 5399122
AW
Professional summary
Amber Leah Willis, who also goes by Amber Willis, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in Memphis, Tennessee.
Amber is registered as a RR (Registered Representative) and started their career in finance in 2008. Amber has worked at 4 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Amber Willis
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.
CRS (Client Relationship Summary) - BD
Click below to view Amber Leah Willis'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®
NoneExperience
Current
January 21, 2016 - Present
CANTOR FITZGERALD & CO.
Office #1: 6410 Poplar Avenue Suite 700, Memphis, TN 38119BD
CRD#: 134
Memphis, TN
Past
October 4, 2012 - October 30, 2015
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
LAGUNA NIGUEL, CA
Past
September 16, 2009 - March 15, 2013
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
LAGUNA NIGUEL, CA
Past
September 30, 2008 - September 16, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GERMANTOWN, TN
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
Arizona(4/4/2017)
RR
California(1/21/2016)
RR
Delaware(6/10/2020)
RR
District of Columbia(8/11/2021)
RR
Georgia(10/19/2023)
RR
Illinois(2/19/2025)
RR
Kansas(2/19/2025)
RR
Maine(4/4/2017)
RR
Massachusetts(4/4/2017)
RR
Minnesota(9/7/2021)
RR
Mississippi(1/16/2020)
RR
Montana(3/1/2023)
RR
Nevada(2/19/2025)
RR
New Jersey(1/21/2016)
RR
New Mexico(4/30/2019)
RR
New York(2/19/2020)
RR
Oregon(1/21/2016)
RR
Pennsylvania(1/21/2016)
RR
Tennessee(1/21/2016)
RR
Texas(2/11/2020)
RR
Utah(6/23/2017)
RR
Washington(6/23/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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Company Information
CANTOR FITZGERALD & CO.
CRD#: 134Memphis, TN 38119TRUST BUT VERIFY
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