Amber M. Ott
Professional summary
Amber M Ott is a registered financial professional currently at STIFEL INDEPENDENT ADVISORS, LLC located in St. Louis, Missouri and STIFEL, NICOLAUS & COMPANY, INCORPORATED located in St. Louis, Missouri.
Amber is registered as a RR (Registered Representative) and started their career in finance in 2023. Amber has worked at 4 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Amber M Ott's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 27, 2023 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: One Financial Plaza 501 North Broadway, St. Louis, MO 63102February 27, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 501 North Broadway, St. Louis, MO 63102February 27, 2023 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 501 N. Broadway, St. Louis, MO 63102February 27, 2023 - August 1, 2023
MILLER BUCKFIRE & CO., LLC
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
Series 99TO
Date: 2/25/2023
Operations Professional ExaminationFINRA
Current Firm
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| Bond | 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.
