Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Dosier is a financial advisor with Stifel, Nicolaus & Company, Inc. Amy has been working in the financial services industry since 1989. Amy holds several licenses including Series 7, 63, 31 and SIE. Amy is registered with the state of California and several other states as a Broker and Investment Advisor Representative. Amy has experience working with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated and Prudential-Bache Securities 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.
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
06/04/2010 - Present
Stifel, Nicolaus & Company, Inc. (NEWPORT BEACH CA)
CA
06/01/2009 - 06/09/2010
MORGAN STANLEY SMITH BARNEY (IRVINE CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (IRVINE CA)
CA
10/02/1989 - 04/02/2007
MORGAN STANLEY DW INC. (IRVINE CA)
NJ
07/24/1989 - 10/10/1989
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
07/24/1989 - 10/10/1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
NY
02/14/1989 - 04/28/1989
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
IA
Issued 05/19/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/11/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 09/17/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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