Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Elizabeth Smart is a financial advisor with over 15 years of experience in the financial services industry. Amy is currently registered with Raymond James & Associates, Inc. and has held previous roles with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Amy holds multiple licenses and certifications including Series 66, Series 9, Series 10, Series 31, and Series 7. Amy specializes in financial planning, portfolio management for individuals and businesses, and selection of other advisors.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
06/25/2021 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
MN
03/09/2007 - 06/22/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WAYZATA MN)
BOTH
Issued 04/19/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/02/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/16/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/2014
Series 31 - Futures Managed Funds Examination
BC
Issued 03/08/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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