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Amy L Kates is a financial advisor professional located in Amherst, NY. They specialize in financial advisory. With over 29 years of experience, they bring deep expertise to every client.
Amy L Kates - Regal Securities, Inc. holds an active professional license (FINRA CRD) for your protection.
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Amy L Kates operates Regal Securities, Inc. in Amherst, NY, bringing 29 years of experience in financial advisory services. Her work is documented under FINRA CRD license number 2715270, which provides regulatory oversight of her practice. With nearly three decades in the industry, she has developed extensive knowledge of financial markets and client portfolio management.
A FINRA CRD (Central Registration Depository) license number indicates registration with the Financial Industry Regulatory Authority, the primary regulator for securities brokers and advisors. This registration means Amy L Kates has met specific education and testing requirements and operates under FINRA's compliance standards and oversight. The license number is a public record you can verify, ensuring transparency and accountability in her financial advisory practice.