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AA

Ashley D. Ames

M&T SECURITIES
Rochester, NY 14604
Some features on this profile are disabled
CRD#: 5895075
AA

Professional summary

Ashley Dawn Ames, who also goes by Ashley Dawn Smith, is a registered financial professional currently at M&T SECURITIES, INC. located in Rochester, New York.

Ashley is registered as a RR (Registered Representative) and started their career in finance in 2014. Ashley has worked at 1 firm and has passed the SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ashley Dawn Smith

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 Ashley Dawn Ames's CRS (Customer Relationship Summary).
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

June 29, 2023 - Present

M&T SECURITIES, INC.

Office #1: Investment Banking 180 South Clinton Ave, Rochester, NY 14604
BD
CRD#: 17358
Rochester, NY
Past

November 26, 2014 - September 11, 2017

M&T SECURITIES, INC.

BD
CRD#: 17358
BALTIMORE, MD

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 5/27/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/26/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/29/2023
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/21/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
M&T SECURITIES, INC.
M&T DISCOUNT BROKERAGE SERVICES, INC. | M&T SECURITIES, INC.

CRD#: 17358 / SEC#: , 8-35185

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

Main Address
1 Light Street Suite 2000, Buffalo, NY 14202
Mailing Address
1 Light Street, Baltimore, MD 21202
Phone number
(410) 244-4307
Established
New York since 11/13/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
901

FINRA licenses (25 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
M&T BANK CORPORATIONSHAREHOLDER
BRETT, MICHELLE THERESEDIRECTOR7965730
COLLINS, ATWOOD IIIDIRECTOR5634496
DETTMANN, BRIAN JOHNDIRECTOR4659106
GIORGIO, HUGH EVANSDIRECTOR7535939
HOGAN, PAUL JOSEPHDIRECTOR2849151
NEWCOMB, MICHAEL FRANCIS IIDIRECTOR2097837
PETRUS, TANYA MARIEPRINCIPAL FINANCIAL OFFICER/FINOP4848556
REILLY, MICHAEL MACKAYDIRECTOR4575618
REMORENKO, ALEXSANDRAPRESIDENT5699601
REMORENKO, ALEXSANDRACHIEF COMPLIANCE OFFICER5699601

Disclosures

Regulatory Event6
Arbitration1
Bond1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

M&T SECURITIES, INC.

CRD#: 17358Rochester, NY 14604

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