Anne P. Gardner
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 Pearson Gardner, who also goes by Anne Gardner Bristol, Anne Pearson, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1985. Anne had worked at 8 firms and has passed the Series 63, Series 65, Series 7, 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
August 27, 2007 - September 19, 2012
COMERICA SECURITIES
August 27, 2007 - September 19, 2012
COMERICA SECURITIES
August 10, 2004 - May 16, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2004 - May 16, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 1, 2000 - December 31, 2002
PIPER SANDLER & CO.
May 4, 2000 - December 31, 2002
PIPER SANDLER & CO.
December 17, 1993 - February 18, 1998
CHARLES SCHWAB & CO., INC.
March 8, 1993 - June 7, 1993
WALL STREET ACCESS
January 10, 1992 - February 4, 1992
UNITED PACIFIC FINANCIAL SERVICES, INC.
April 7, 1989 - October 1, 1990
LEHMAN BROTHERS INC.
August 21, 1985 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, 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 8
Date: 9/17/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
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.
