Amy B. Mitchell
Professional summary
Amy Brock Mitchell, who also goes by Amy M Brock, Amy Michelle Brock, Meme Brock, Amy M Mitchell, Meme Mitchell, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Lake Mary, Florida.
Amy is registered as a RR (Registered Representative) and started their career in finance in 2019. Amy has worked at 4 firms and has passed the Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Amy Brock Mitchell's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2024 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 500 Colonial Center Pky Suite 100, Lake Mary, FL 32746June 30, 2021 - July 24, 2024
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2021 - July 24, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 27, 2019 - June 25, 2021
LPL FINANCIAL 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 7TO
Date: 6/27/2019
General Securities Representative ExaminationFINRA
Current Firm
ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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
ROBINHOOD FINANCIAL, LLC
CRD#: 165998Lake Mary, FL 32746TRUST BUT VERIFY
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