Ann K. Eaves-allen
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 Kathleen Eaves-allen, who also goes by Ann K Eaves, Ann Kathleen Eaves, Ann Kathleen Eaves Thomson, Ann Eaves-allen, Ann Kathleen Marlowe, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1983. Ann had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2014 - October 17, 2019
WADDELL & REED
November 19, 2014 - October 17, 2019
WADDELL & REED
December 1, 2010 - December 31, 2012
WADDELL & REED
November 11, 2010 - December 31, 2012
WADDELL & REED
October 17, 2007 - April 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 1989 - April 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 1986 - May 17, 1988
LEHMAN BROTHERS INC.
March 5, 1986 - August 20, 1986
CHRISTOPHER WEIL & COMPANY, INC
July 23, 1983 - March 14, 1986
LPL FINANCIAL LLC
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
