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Amie J. Guo

Some features on this profile are disabled
CRD#: 6151146
AG

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.

Amie Jessica Guo, who also goes by Amie Guo, was a registered financial professional .

Amie is a previously registered financial professional and started their career in finance in 2014. Amie had worked at 2 firms and has passed the SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amie Guo

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 14, 2016 - April 30, 2018

DBO PARTNERS LLC

BD
CRD#: 158951
BURLINGAME, CA
Past

August 6, 2014 - March 28, 2016

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

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: 4/30/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/6/2014
Investment Banking Registered Representative Examination

Current Firm

DP
DBO PARTNERS LLC
DBO PARTNERS LLC | DEAN BRADLEY OSBORNE PARTNERS LLC | DEAN BRADLEY FINANCIAL LLC

CRD#: 158951 / SEC#: , 8-68949

BD
Terminated by SEC on 12/31/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PIPER SANDLER COMPANIESPARENT
BRADLEY, MARK HCO-PRESIDENT1996158
COLLINS, ELIZABETH SARAHFINOP / CFO4714831
DEAN, GORDON GORECHAIRMAN, CO-PRESIDENT, SECRETARY, CCO1564226

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.

Company Information

DBO PARTNERS LLC

CRD#: 158951

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