Amy Ungles is a registered investment advisor, based in Denver, CO, with 20 years of industry experience.
Location
Denver, CO
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Transamerica Investors Securities, LLCBroker
May 2022 - Present · 3 yrs 11 mos
Transamerica Retirement Advisors, LLC
May 2022 - Present · 3 yrs 11 mos
Transamerica Investors Securities, LLC
May 2022 - Present · 3 yrs 11 mos
Previous Registrations
Nationwide Investment Advisors, LLC
May 2016 - May 2022 · 6 yrs
Nationwide Investment Services CorporationBroker
April 2016 - May 2022 · 6 yrs 1 mo
Transamerica Investors Securities CorporationBroker
March 2015 - November 2015 · 8 mos
Gwfs Equities, INC.Broker
September 2009 - February 2015 · 5 yrs 5 mos
Woodbury Financial Services, INC.Broker
March 2007 - September 2009 · 2 yrs 6 mos
Janus Distributors, INC.Broker
May 1999 - February 2001 · 1 yr 9 mos
State Registrations12 states
ALCODEFLIAMINHNJNVNYUTWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.