Anne P. Rettig
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.
Anne Patrice Rettig, who also goes by Anne Rettig, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1983. Anne had worked at 4 firms and has passed the SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2011 - September 16, 2013
HOWE BARNES HOEFER & ARNETT, INC.
October 31, 1988 - July 1, 2019
RAYMOND JAMES & ASSOCIATES, INC.
March 14, 1985 - October 15, 1988
SECURICORP, INC.
July 29, 1983 - December 24, 1984
J. MILTON NEWTON, INCORPORATED
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
Current Firm
HOWE BARNES HOEFER & ARNETT, INC.
CRD#: 2240 / SEC#: , 8-13657
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | SOLE OWNER | |
| COUGHLIN, DANIEL EDMUND | DIRECTOR | 2419252 |
| FOLIAS, DEAN ALLAN | CHIEF COMPLIANCE OFFICER | 3128644 |
| FRANZ, RICHARD BONAFIELD II | CFO/TREASURER | 1402348 |
| TREMAINE, THOMAS ROBERT | DIRECTOR | 1524109 |
| TROCIN, JEFFREY EDWARD | CHIEF EXECUTIVE OFFICER & DIRECTOR | 1547237 |
| ZANK, DENNIS WILLIAM | DIRECTOR | 871971 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 2 |
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.
