Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Jeanne Sullivan is a financial advisor with over 15 years of experience in the industry. Currently registered with Wells Fargo Clearing Services, LLC, Amy has been a Registered Representative and Investment Advisor Representative since 2017. Prior to joining Wells Fargo, Amy worked as a Registered Representative with UBS Financial Services Inc. and Pinnacle Investments, LLC. She holds licenses for securities and investment advisory services in multiple states including New York, New Jersey, North Carolina, and Texas. Amy has expertise in a variety of areas including retirement planning, college savings, and investment management. Her services are available to individuals, families, and businesses.
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.
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.
Investment consulting services to institutional clients
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
NY
07/06/2017 - Present
Wells Fargo Clearing Services, LLC (ROCHESTER NY)
NY
05/25/2016 - 07/10/2017
UBS FINANCIAL SERVICES INC. (ROCHESTER NY)
NY
03/21/2016 - 05/19/2016
PINNACLE INVESTMENTS, LLC (SYRACUSE NY)
NY
06/24/2009 - 05/02/2014
BURNHAM SECURITIES INC. (NEW YORK NY)
MA
07/05/2007 - 07/12/2007
MOORS & CABOT, INC. (BOSTON MA)
BOTH
Issued 05/07/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/23/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/06/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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