AT
Amy E. Thomas
VANGUARD MARKETING
Malvern, PA 19355
Some features on this profile are disabled
CRD#: 6085098
AT
Professional summary
Amy Elizabeth Thomas, who also goes by Amy Thoma, Amy Thomas, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Amy is registered as a RR (Registered Representative) and started their career in finance in 2012. Amy has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Amy Thoma | Amy Thomas
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.
1) Wharton wealth management Investment/insurance financial planning 110 Phoenixville Pike, Malvern, PA 19355 Financial advisor/ wealth management Start date 6/6/2022 160-200 hours This is where I will be devoting all my hours 2) WHARTON BENEFITS GROUP POSITION: group benefits specialist NATURE: group benefits- insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 30 START DATE: 07/01/2022 ADDRESS: 110 N. Phoenixville Pike, Suite 300, malvern PA 19355, United States DESCRIPTION: group benefits advisor 3) WHARTON WEALTH MANAGEMENT POSITION: IAR NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 07/01/2022 ADDRESS: 110 N. Phoenixville Pike, suite 300, malvern PA 19355, United States DESCRIPTION: investment advisor rep. 4) PALCO POSITION: caretaker NATURE: Watching my family friend's son who is mentally disabled. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2020 ADDRESS: 60 greenhill road, media PA 19063, United States DESCRIPTION: I watch my family friend's son on occassion 5) AMY THOMAS- INSURANCE POSITION: Insurance Agent/broker NATURE: Sole Prop. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 06/01/2022 ADDRESS: 110 N. Phoenixville Pike, Suite 300, malvern PA 19355, United States DESCRIPTION: sale of fixed life insurance and annuities 6) ROOMMATE- RENTAL INCOME POSITION: landlord NATURE: i have a roommate who pays rent INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2022 ADDRESS: 60 greenhill road, media PA 19063, United States DESCRIPTION: roommate pays rent
CRS (Client Relationship Summary) - BD
Click below to view Amy Elizabeth Thomas'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
December 20, 2023 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
Malvern, PA
Past
November 3, 2023 - December 12, 2023
OSAIC WEALTH, INC.
RIA
CRD#: 23131
MALVERN, PA
Past
November 3, 2023 - December 12, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
MALVERN, PA
Past
June 22, 2022 - December 18, 2023
WHARTON WEALTH MANAGEMENT, LLC
RIA
CRD#: 281348
MALVERN, PA
Past
June 7, 2022 - November 3, 2023
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
MALVERN, PA
Past
June 7, 2022 - November 3, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
MALVERN, PA
Past
May 29, 2020 - June 7, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
KNG OF PRUSSIA, PA
Past
July 16, 2013 - May 20, 2020
OSAIC FA, INC.
BD
CRD#: 3978
MEDIA, PA
Past
July 30, 2012 - August 29, 2012
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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
Alabama(12/21/2023)
RR
Alaska(12/21/2023)
RR
Arizona(12/21/2023)
RR
Arkansas(12/21/2023)
RR
California(12/21/2023)
RR
Colorado(12/21/2023)
RR
Connecticut(12/21/2023)
RR
Delaware(12/21/2023)
RR
District of Columbia(12/21/2023)
RR
Florida(12/21/2023)
RR
Georgia(12/21/2023)
RR
Hawaii(12/21/2023)
RR
Idaho(12/21/2023)
RR
Illinois(12/21/2023)
RR
Indiana(12/21/2023)
RR
Iowa(12/21/2023)
RR
Kansas(12/21/2023)
RR
Kentucky(12/21/2023)
RR
Louisiana(12/21/2023)
RR
Maine(12/21/2023)
RR
Maryland(12/21/2023)
RR
Massachusetts(12/21/2023)
RR
Michigan(12/21/2023)
RR
Minnesota(12/21/2023)
RR
Mississippi(12/21/2023)
RR
Missouri(12/21/2023)
RR
Montana(12/21/2023)
RR
Nebraska(12/21/2023)
RR
Nevada(12/21/2023)
RR
New Hampshire(12/21/2023)
RR
New Jersey(12/21/2023)
RR
New Mexico(12/21/2023)
RR
New York(12/21/2023)
RR
North Carolina(12/21/2023)
RR
North Dakota(12/21/2023)
RR
Ohio(12/21/2023)
RR
Oklahoma(12/21/2023)
RR
Oregon(12/21/2023)
RR
Pennsylvania(12/20/2023)
RR
Puerto Rico(12/21/2023)
RR
Rhode Island(12/21/2023)
RR
South Carolina(12/21/2023)
RR
South Dakota(12/21/2023)
RR
Tennessee(12/21/2023)
RR
Texas(12/21/2023)
RR
Utah(12/21/2023)
RR
Vermont(12/21/2023)
RR
Virgin Islands(12/21/2023)
RR
Virginia(12/21/2023)
RR
Washington(12/21/2023)
RR
West Virginia(12/21/2023)
RR
Wisconsin(12/21/2023)
RR
Wyoming(12/21/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/2/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
