Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Roat is a registered representative of Ameriprise Financial Services, LLC, where Amy has been employed since May 2015. Amy has held the Series 66 license since November 2023, the Series 7TO since December 2021, and the SIE since September 2020. Amy specializes in providing asset allocation services, financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisers, portfolio management for businesses, and portfolio management for individuals. Ameriprise Financial Services, LLC is a large financial services firm with over 11,000 employees. The firm's main office is in Minneapolis, Minnesota.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
1
2
CA
11/17/2023 - Present
Ameriprise Financial Services, LLC (San Jose CA)
BOTH
Issued 11/14/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/13/2021
Series 7TO - General Securities Representative Examination
BC
Issued 09/26/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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