Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Peng is a financial professional with over 15 years of experience in the financial services industry. Amy has been registered with Charles Schwab & CO., Inc. since 2010, and previously worked with TD Ameritrade, Inc., Barclays Capital Inc., Lehman Brothers Inc., and Transamerica Financial Advisors, Inc. Amy holds Series 7, 9, 10, 24, 66, and SIE licenses and is currently registered in 21 states and the District of Columbia. Amy is also a registered Investment Advisor representative in California.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CA
05/17/2010 - Present
Charles Schwab & CO., Inc. (Pasadena CA)
CA
07/01/2022 - 05/19/2024
TD AMERITRADE, INC. (Pasadena CA)
CA
09/22/2008 - 07/22/2009
BARCLAYS CAPITAL INC. (SAN FRANCISCO CA)
CA
08/08/2008 - 09/22/2008
LEHMAN BROTHERS INC. (SAN FRANCISCO CA)
CA
12/14/2007 - 08/11/2008
TRANSAMERICA FINANCIAL ADVISORS, INC. (LOS ANGELES CA)
BOTH
Issued 04/29/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
Series 24 - General Securities Principal Examination
BC
Issued 09/24/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/17/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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