Anncharlotte Mccague
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.
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 professional .
Anncharlotte is a previously registered financial professional and started their career in finance in 1983. Anncharlotte had worked at 17 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 15, Series 5, Series 3, Series 10, Series 9, Series 14, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2019 - November 25, 2019
WEEDEN & CO.L.P.
October 12, 2015 - January 4, 2016
BMO CAPITAL MARKETS GKST INC.
March 28, 2005 - January 10, 2023
PIPER SANDLER & CO.
November 21, 2001 - March 8, 2005
THINKEQUITY LLC
February 8, 2001 - October 30, 2001
IDS LIFE INSURANCE COMPANY
February 8, 2001 - October 30, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
March 2, 1998 - October 27, 1999
RBC CAPITAL MARKETS, LLC
July 26, 1994 - March 2, 1998
DAIN RAUSCHER INCORPORATED
September 3, 1993 - June 10, 1994
WELLS FARGO SECURITIES INC.
April 21, 1993 - May 19, 1993
MONTGOMERY SECURITIES
September 4, 1990 - March 23, 1993
WELLS FARGO CLEARING SERVICES, LLC
July 21, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 5, 1988 - June 28, 1988
COVEST SECURITIES CORPORATION
March 11, 1986 - August 13, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
August 29, 1984 - March 5, 1986
E. F. HUTTON & COMPANY INC
March 23, 1984 - July 24, 1984
MORGAN STANLEY DW INC.
October 3, 1983 - February 9, 1984
THOMSON MCKINNON SECURITIES 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 9/30/1983
Foreign Currency Options ExaminationSeries 5
Date: 9/30/1983
Interest Rate Options ExaminationSeries 8
Date: 7/30/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WEEDEN & CO.L.P.
CRD#: 16835 / SEC#: 801-57163, 8-37267
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER JAFFRAY COMPANIES | 100% OWNER | |
| MCCAGUE, ANNCHARLOTTE | CHIEF COMPLIANCE OFFICER | 1108448 |
Disclosures
| Regulatory Event | 13 |
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.
