Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Williams is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. based in Pasadena, CA. Amy has been working in the financial industry since 2007. Amy is a licensed Investment Adviser Representative in California. She is also licensed to conduct securities business in California. Amy has experience providing financial services to a wide range of clients, including high-net-worth individuals, corporations, and charitable organizations. Her areas of specialization include: portfolio management, investment advice, and financial planning.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
03/07/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PASADENA CA)
CA
03/18/2008 - 08/28/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
BOTH
Issued 04/08/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/03/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/15/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/28/2017
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2008
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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