Amoy E. Van Lowe
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.
Amoy Elizabeth Van Lowe was a registered financial professional .
Amoy is a previously registered financial professional and started their career in finance in 2009. Amoy had worked at 1 firm and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2009 - September 26, 2018
UTC FINANCIAL SERVICES USA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UTC FINANCIAL SERVICES USA, INC.
CRD#: 119529 / SEC#: , 8-65202
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTC FUND SERVICES, INC. | STOCKHOLDER | |
| ALVAREZ, ENRIQUE | FINANCIAL OPERATIONS PRINCIPAL | 4622342 |
| DANIEL-WORRELL, GAYLE CIRILLA | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4008442 |
| HOLFORD-JACK, BEVERLY-ANN | DIRECTOR | 5652729 |
| RODRIGUEZ, CRYSTAL ALICIA | DIRECTOR | 5630271 |
| WILLIAMS, ALDON PHILIP | DIRECTOR AND PRINCIPAL | 5195839 |
Disclosures
| Regulatory Event | 1 |
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.
