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Information

Other Names: Ami Mardele Leger
Firm:
Type: Registered Representative
Description

Ami Trupia is a financial professional at Northwestern Mutual Investment Services,LLC, a broker-dealer with over 8,800 registered representatives nationwide. Ami has held an industry securities registration for 7 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Ami L Trupia has not answered any questions on Financial Q&A.

Top Guides

Ami L Trupia has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Lance Franczyk 5 years, 3 months Jan 2009 - Present
Northwestern Mutual Investment Services,LLC 7 years Apr 2007 - Present
Country Insurance & Financial Services 1 year Apr 2006 - Apr 2007
Onb Bank & Trust Company 1 year, 9 months Jun 2004 - Mar 2006
Bank of Oklahoma 1 year, 2 months Apr 2003 - Jun 2004
Phillip Franczyk 7 years, 11 months Jan 2001 - Dec 2008
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 01/15/2014, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Not registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
01/15/2014
09/10/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
General Securities Sales Supervisor - General Module Examination Series 10 01/29/2008
General Securities Sales Supervisor - Options Module Examination Series 9 01/14/2008
General Securities Representative Examination Series 7 11/12/2007
Uniform Investment Adviser Law Examination Series 65 06/05/2006
Uniform Securities Agent State Law Examination Series 63 05/22/2006
Investment Company Products/Variable Contracts Representative Examination Series 6 05/18/2006

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Other: REFERRAL FEES