Ann K. Brennan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ann Kearney Brennan, who also goes by Ann Brennan, Ann Brennan Haffner, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1982. Ann had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2015 - September 28, 2016
THE LEADERS GROUP, INC.
June 13, 2013 - March 26, 2015
KESTRA INVESTMENT SERVICES, LLC
October 21, 2011 - June 10, 2013
M HOLDINGS SECURITIES, INC.
July 1, 2005 - February 7, 2007
PARK AVENUE SECURITIES LLC
October 15, 2004 - July 5, 2005
METROPOLITAN LIFE INSURANCE COMPANY
October 15, 2004 - July 5, 2005
MSI FINANCIAL SERVICES, INC.
January 7, 2004 - October 5, 2004
MUTUAL SERVICE CORPORATION
January 7, 2000 - December 31, 2003
MUTUAL SERVICE CORPORATION
January 7, 1998 - December 31, 1999
MUTUAL SERVICE CORPORATION
March 29, 1982 - January 15, 1998
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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