Ann B. Serrato
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 Bell Serrato, who also goes by Ann Longman Bell, Ann Bell Longman, Ann Eloise Longman, Ann Longman Serrato, Ann Serrato, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1982. Ann had worked at 14 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2018 - December 31, 2020
THE LEADERS GROUP, INC.
February 7, 2015 - February 29, 2016
NAVIAN CAPITAL SECURITIES LLC
September 30, 2013 - July 31, 2014
SYMETRA SECURITIES, INC.
January 5, 2012 - September 30, 2013
SIGNATOR FINANCIAL SERVICES, INC.
September 6, 2010 - January 10, 2012
FOOTHILL SECURITIES, INC.
December 6, 2007 - September 4, 2008
NELSONREID, INC.
October 13, 2004 - January 19, 2006
IDS LIFE INSURANCE COMPANY
October 13, 2004 - January 19, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
November 29, 2002 - October 11, 2004
EVERLAKE DISTRIBUTORS, LLC
May 6, 2002 - August 5, 2002
AFD, INC.
January 2, 2002 - April 2, 2002
AFD, INC.
November 9, 1999 - December 31, 2001
AFD, INC.
June 4, 1998 - October 22, 1999
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 20, 1996 - January 29, 1997
WOODBURY FINANCIAL SERVICES, INC.
January 23, 1991 - May 26, 1995
INVEST FINANCIAL CORPORATION
September 23, 1982 - July 3, 1989
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 7/13/2022
General Securities Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
