Anncharlotte Mccague
Professional Summary
Anncharlotte Mccague, who also goes by Ann Charlotte Mccague, Ann Mccague, Ann Charlotte Plank, Ann Charlotte Ramusson Plank, Anncharlotte Rasmusson Plank, Anncharlotte Plank, Ann Charlotte Rasmusson, Ann Rasmusson, Anncharlotte Rasmusson, Anncharlotte Rasmussonmccague, was a registered financial advisor. Anncharlotte was a previously registered financial professional and started their career in finance 1983 - 2019. Anncharlotte had worked at 17 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 15, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ann Charlotte Mccague, Ann Mccague, Ann Charlotte Plank, Ann Charlotte Ramusson Plank, Anncharlotte Rasmusson Plank, Anncharlotte Plank, Ann Charlotte Rasmusson, Ann Rasmusson, Anncharlotte Rasmusson, Anncharlotte Rasmussonmccague
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
WEEDEN & CO. INCORPORATED | WEEDEN & CO.L.P. | WEEDEN & CO., INC.
Contact Information
Main Address
145 Mason Street, Greenwich, CT 06830Established
Delaware since 09/05/1986Firm Type
PartnershipFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER JAFFRAY COMPANIES | 100% OWNER | — |
| MCCAGUE, ANNCHARLOTTE | CHIEF COMPLIANCE OFFICER | 1108448 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 15 — Foreign Currency Options Examination
Passed Sep 1983Series 5 — Interest Rate Options Examination
Passed Sep 1983Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jul 1987Similar Advisors
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CRS (Client Relationship Summary)
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