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Amy S Horsley
AMYS MARIE HORSLEY, MARIE AMY ALVA SEPE HORSLEY, Amy Horsley, Marie Amy Alva Santiago Horsley, MarieAmyAlva S Horsley…
CRD#: 5431711
IA
Investment Adviser
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Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 3101 UNIVERSITY AVE
SAN DIEGO, CA 92104
Registration History
20082010201220142016201820202022202420262 FIRMS2023 - Present (2 years)BTD AMERITRADE, INC. (CRD# 7870)2009 - 2021 (12 years)IATD AMERITRADE, INC. (CRD# 7870)2010 - 2021 (10 years)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2010 - 2020 (10 years)
License(s)

State Registrations

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Arizona 2/2/2023

B
Oregon 2/2/2023

B
California 1/5/2023

B
Texas 2/2/2023

IA
California 1/5/2023

IA
Texas 2/16/2023

B
Florida 2/2/2023

B
Washington 2/2/2023

B
Nevada 2/2/2023

SRO Registrations

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Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3101 UNIVERSITY AVE, SAN DIEGO, CA 92104
2930 JAMACHA RD, EL CAJON, CA 92019
Registered with this firm since 1/5/2023

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3101 UNIVERSITY AVE, SAN DIEGO, CA 92104
2930 JAMACHA RD, EL CAJON, CA 92019
Registered with this firm since 1/5/2023

Previous Registration(s)
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07/14/2010 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) SAN DIEGO, CA
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01/01/2009 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) SAN DIEGO, CA
IA
07/14/2010 - 12/31/2020 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) SAN DIEGO, CA
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Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.