Amy T. Marshall

S&F INVESTMENT ADVISORS

Encino, CA 91436

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CRD#: 6164288

Professional summary

Amy Theresa Marshall, who also goes by Amy Marshall, is a registered financial advisor currently at S&F INVESTMENT ADVISORS located in Encino, California.

Amy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Amy has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Amy Marshall

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.

Bookkeeping Services 9955 Wish Ave Northridge, CA 91325 The bookkeeping services I perform are not investment related. I started in 2000. I devote about 10-15 hours monthly and almost none during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Theresa Marshall'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®

None

Experience

Current

December 14, 2021 - Present

S&F INVESTMENT ADVISORS

Office #1: 16633 Ventura Blvd., #540, Encino, CA 91436

RIA

CRD#: 129367

Encino, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/14/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/14/2021

Uniform Investment Adviser Law Examination

Current Firm

S&F INVESTMENT ADVISORS

FOX, ROGER BENNETT | S&F INVESTMENT ADVISORS

CRD#: 129367 / SEC#: 801-62743

RIA

Registered Investment Advisory firm - (9/16/2021 Terminated)

California

Registered Investment Advisory firm - (9/14/2021 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

16633 Ventura Blvd. 540, Encino, CA 91436

Mailing Address

Phone number

(310) 481-9320

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	261
AUM (Assets Under Management)	$ 93,234,654

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.

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Amy T. Marshall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Theresa Marshall's CRS (Customer Relationship Summary).

Certified licenses

Experience

S&F INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/2021

Current Firm

S&F INVESTMENT ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

S&F INVESTMENT ADVISORS

TRUST BUT VERIFY

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