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Amy I Sorge

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Summit, NJ

Edison, NJ

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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 2023-05-15
NJ RA APPROVED 2023-02-16
  • TX RA
    APPROVED_RES
    Since 2023-05-15
  • NJ RA
    APPROVED
    Since 2023-02-16

Branch Locations

1 Deforest Ave, Summit, NJ 07901 • United States

Edison, NJ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Primerica Financial Services Piscataway NJ 04/2013 03/2017
Pfs Investments Inc Pisataway NJ 12/2015 03/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Short Hills NJ 05/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-13
S63 Uniform Securities Agent State Law Examination 1999-02-13
  • S66 Uniform Combined State Law Examination
    2023-02-13
  • S63 Uniform Securities Agent State Law Examination
    1999-02-13
Other Names
  • Amy L Swartz
  • Amy L Swartz
  • Amy L Swartz
  • Amy L Sorge
  • Amy Sorge

View on SEC IAPD

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Other Offices

CONCORD MANAGEMENT SERVICES, LLC · SUMMIT, NJ
CONVERSANT CAPITAL LLC · SUMMIT, NJ
J.P. MORGAN SECURITIES LLC · Summit, NJ
WELLS FARGO CLEARING SERVICES, LLC · SUMMIT, NJ
BIANCO WEALTH ADVISORS LLC · SUMMIT, NJ
FORZA INVESTMENT GROUP, LP · SUMMIT, NJ
TSP CAPITAL MANAGEMENT GROUP, LLC · SUMMIT, NJ
TSP CAPITAL MANAGEMENT GROUP, LLC · SUMMIT, NJ

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