Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Komis is a financial advisor with over 20 years of experience in the financial services industry. Amy has been registered with LPL Financial LLC since 2019, and prior to that she was with CUSO Financial Services, LP, CUNA Brokerage Services, Inc. and IFMG Securities, Inc. Amy holds Series 6, 7, 24, 63, and 66 licenses. Amy is committed to providing her clients with personalized financial advice and helping them achieve their financial goals.
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.
Consulting and other non-discretionary advisory services
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.
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2
WI
06/06/2019 - Present
LPL Financial LLC (APPLETON WI)
WI
12/10/2014 - 03/29/2019
CUSO FINANCIAL SERVICES, L.P. (Waupaca WI)
WI
05/21/2013 - 12/15/2014
CUNA BROKERAGE SERVICES, INC. (APPLETON WI)
WI
03/04/2008 - 04/30/2013
LPL FINANCIAL LLC (TOWNSEND WI)
WI
09/17/2004 - 03/04/2008
IFMG SECURITIES, INC. (KAUKAUNA WI)
MN
02/24/2004 - 08/23/2004
PRIMEVEST FINANCIAL SERVICES, INC. (ST. CLOUD MN)
TN
08/21/2003 - 02/24/2004
PFIC SECURITIES CORPORATION (FRANKLIN TN)
MN
12/01/2001 - 08/01/2003
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
NJ
04/23/1997 - 12/01/2001
FIRSTAR INVESTMENT SERVICES,INC. (MORRIS PLAINS NJ)
BOTH
Issued 08/04/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/29/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/23/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/1999
Series 7 - General Securities Representative Examination
BC
Issued 04/10/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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