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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Sullivan is a registered investment advisor with over 20 years of experience in the financial services industry. Amy is currently employed by Morgan Stanley and is registered in 35 states to provide investment advice and securities related services. Amy specializes in providing asset allocation advice, financial planning, pension consulting, and educational seminars. Previously, Amy was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Northwestern Mutual Investment Services, LLC, J.J.B HILLIARD, W.L. LYONS, LLC, Ameritas Investment Corp., M HOLDINGS SECURITIES, INC., The Huntington Investment Company, and J.J.B. HILLIARD, W.L. LYONS, INC.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IN
12/11/2020 - Present
Morgan Stanley (Indianapolis IN)
IN
03/15/2011 - 12/14/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (INDIANAPOLIS IN)
OH
01/11/2011 - 03/02/2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CINCINNATI OH)
OH
04/05/2010 - 10/19/2010
J.J.B HILLIARD, W.L. LYONS, LLC (CINCINNATI OH)
OH
04/06/2009 - 04/08/2010
AMERITAS INVESTMENT CORP. (CINCINNATI OH)
OH
06/04/2008 - 02/10/2009
M HOLDINGS SECURITIES, INC. (CINCINNATI OH)
OH
11/26/2002 - 12/20/2006
THE HUNTINGTON INVESTMENT COMPANY (CINCINNATI OH)
KY
09/18/2001 - 10/29/2002
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
BOTH
Issued 07/27/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/03/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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