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Amy S Horsley

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santee, CA

San Diego, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-02-16
CA RA APPROVED 2023-01-05
  • TX RA
    APPROVED_RES
    Since 2023-02-16
  • CA RA
    APPROVED
    Since 2023-01-05

Branch Locations

9711 Mission Gorge Rd, Santee, CA 92071 • United States

3101 University Ave, San Diego, CA 92104 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Td Ameritrade San Diego CA 09/2007 01/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Diego CA 12/2022 Present
Unemployed San Diego CA 01/2021 11/2022
Bank Of America, N.A. San Diego CA 02/2023 Present
Previous Registrations
  • 2010-07-14 → 2021-01-11
    Td Ameritrade, Inc.
    San Diego, CA
    San Diego, CA
    San Diego, CA
  • 2010-07-14 → 2020-12-31
    Td Ameritrade Investment Management, Llc
    San Diego, CA
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-03-19
  • S66 Uniform Combined State Law Examination
    2009-03-19
Other Names
  • Amy Santiago
  • Marie Amy Sepe Santiago
  • Marie Amy Alva Sepe Santiago
  • Amy Horsley
  • Marie Amy Alva Sepe Horsley
  • Amys Marie Horsley
  • Amy Marie Santiago
  • Amy S Santiago
  • Marie Amy Alva Santiago Horsley
  • Marieamyalva S Horsley

View on SEC IAPD

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Other Offices

WELLS FARGO CLEARING SERVICES, LLC · SANTEE, CA
J.P. MORGAN SECURITIES LLC · SANTEE, CA
EDWARD JONES · SANTEE, CA
OSAIC WEALTH, INC. · SANTEE, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Santee, CA
THRIVENT INVESTMENT MANAGEMENT INC. · SANTEE, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Santee, CA
ALLSTATE FINANCIAL ADVISORS, LLC · Santee, CA

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