Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Simon is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in CHICAGO, IL. Amy has been in the financial industry for over 20 years and is registered to provide investment advice in 38 states. Amy is also a registered representative of the firm, meaning she can also sell securities. Amy's experience and expertise spans across various investment areas, including portfolio management for individuals and businesses, as well as pension consulting. Amy also offers educational seminars and helps clients select other advisors.
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
IL
04/12/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
IL
04/19/2016 - 02/27/2018
WELLS FARGO CLEARING SERVICES, LLC (CHICAGO IL)
WI
09/14/2015 - 03/10/2016
WELLS FARGO ADVISORS, LLC (WAUKESHA WI)
IL
07/07/2006 - 08/04/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NORTHBROOK IL)
NY
12/06/2005 - 05/11/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/14/2004 - 08/19/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
07/01/2003 - 10/07/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
06/17/2003 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
05/05/1998 - 07/16/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 03/03/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/02/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/22/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/1998
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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