Amy Zwaan is a registered investment advisor, based in Clovis, CA, with 20 years of industry experience.
Location
Clovis, CA
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Regulatory History (5)
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Customer Dispute
August 2025Pending
Customer Dispute
February 2025Settled
Regulatory
September 2024Final
Regulatory
May 2024Final
Judgment / Lien
October 2023Other Business Activities
Amy is the owner and president of Amy Nuttall, INC, a business entity for tax/investment purposes only. This activity is not investment-related and requires minimal time.
Employment History
Current Registrations
Alexander Capital, L.P.Broker
January 2025 - Present · 1 yr 3 mos
Alexander Capital, L.P.
January 2025 - Present · 1 yr 3 mos
Alexander Capital Wealth Management LLC
October 2024 - Present · 1 yr 6 mos
Previous Registrations
Alexander Capital, L.P.Broker
October 2024 - December 2024 · 2 mos
LPL Financial LLC
November 2022 - May 2024 · 1 yr 6 mos
LPL Financial LLCBroker
November 2022 - May 2024 · 1 yr 6 mos
Wealthplan Partners
January 2020 - December 2022 · 2 yrs 11 mos
Securities America, INC.Broker
September 2019 - November 2022 · 3 yrs 2 mos
Wealthplan Partners
September 2019 - July 2020 · 10 mos
Raymond James Financial Services Advisors, INC
November 2018 - September 2019 · 10 mos
Raymond James Financial Services, INC.Broker
November 2018 - September 2019 · 10 mos
The Wealth Consulting Group
December 2016 - December 2018 · 2 yrs
LPL Financial LLC
September 2010 - March 2017 · 6 yrs 6 mos
LPL Financial LLCBroker
September 2010 - December 2018 · 8 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2007 - September 2010 · 2 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2007 - September 2010 · 2 yrs 10 mos
UBS Financial Services INC.
December 2004 - December 2007 · 3 yrs
UBS Financial Services INC.Broker
November 2004 - December 2007 · 3 yrs 1 mo
State Registrations8 states
CACOIDNJNVORTXWY
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.