Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Lynn Pongratz is an Investment Advisor Representative at Raymond James Financial Services Advisors, Inc. with over 27 years of experience in the financial services industry. Amy holds Series 4, 7, 8, 9, 10, 63, and 65 licenses. Amy specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, insurance companies, charitable organizations, and pension and profit-sharing plans. Amy has held previous positions at RBC Capital Markets, LLC, Wells Fargo Advisors, LLC, Morgan Stanley Smith Barney, Citigroup Global Markets Inc., SunAmerica Securities, Inc., Prudential Securities Incorporated, TD Waterhouse Investor Services, Inc., Charles Schwab & Co., Inc., and Smith Barney Inc. Amy is registered to provide advisory services in 47 states and the District of Columbia.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
AZ
07/15/2024 - Present
Raymond James Financial Services Advisors, Inc. (CAREFREE AZ)
AZ
06/01/2016 - 04/25/2017
RBC CAPITAL MARKETS, LLC (PHOENIX AZ)
AZ
06/26/2009 - 06/03/2016
WELLS FARGO ADVISORS, LLC (PHOENIX AZ)
AZ
06/01/2009 - 07/01/2009
MORGAN STANLEY SMITH BARNEY (PHOENIX AZ)
AZ
02/17/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PHOENIX AZ)
AZ
07/11/2002 - 11/03/2003
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NY
03/02/2001 - 01/30/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NE
07/20/1998 - 11/08/2000
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
TX
01/10/1997 - 06/11/1998
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
07/25/1995 - 10/01/1996
SMITH BARNEY INC. (NEW YORK NY)
NJ
04/18/1994 - 07/24/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 03/04/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/12/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/01/2003
Series 4 - Registered Options Principal Examination
BC
Issued 06/16/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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