Robert A. Amico
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.
Robert Anthony Amico, who also goes by Robert Amico, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1975. Robert had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2017 - September 20, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 20, 2017 - September 20, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 27, 2016 - September 20, 2017
CAPITAL ONE ADVISORS, LLC
December 26, 2016 - September 20, 2017
CAPITAL ONE INVESTING, LLC
October 18, 2006 - October 23, 2015
HSBC SECURITIES (USA) INC.
October 18, 2006 - October 23, 2015
HSBC SECURITIES (USA) INC.
August 19, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
March 6, 1997 - July 10, 2006
CHASE INVESTMENT SERVICES CORP.
September 18, 1996 - July 10, 2006
CHASE INVESTMENT SERVICES CORP.
July 22, 1994 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
August 13, 1993 - August 1, 1994
IFMG SECURITIES, INC.
June 1, 1992 - August 18, 1993
CITICORP INVESTMENT SERVICES
September 25, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
July 25, 1989 - October 3, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
October 31, 1988 - November 21, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
March 7, 1985 - July 18, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 15, 1983 - March 13, 1985
WZW FINANCIAL SERVICES, INC.
February 5, 1982 - December 16, 1983
ADVANTAGE CAPITAL CORPORATION
August 1, 1975 - October 28, 1981
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 1
Date: 7/24/1975
Registered Representative ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
