AR
Ann H. Reale
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CRD#: 1261256
AR
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 Henninger Reale, CFP®, who also goes by Ann Allen Henninger, Ann Allen Reale, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1984. Ann had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ann Allen Henninger | Ann Allen Reale
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1994
Experience
Past
October 15, 2010 - June 28, 2016
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
DANVILLE, IL
Past
October 15, 2010 - June 28, 2016
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
DANVILLE, IL
Past
April 12, 1998 - October 21, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
DANVILLE, IL
Past
April 21, 1997 - October 21, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
DANVILLE, IL
Past
December 11, 1994 - March 27, 1997
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, IA
Past
September 30, 1993 - November 9, 1994
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
September 27, 1988 - August 6, 1993
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
January 11, 1986 - November 12, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
January 11, 1986 - November 12, 1988
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
June 20, 1984 - November 20, 1985
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/28/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
IP
INVESTMENT PROFESSIONALS, INC.
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CRD#: 30184 / SEC#: 801-67704, 8-44786
BD
Terminated by SEC on 12/01/2018
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Contact information
Main Address
16414 San Pedro Avenue Suite 300, San Antonio, TX 78232
Mailing Address
Phone number
Established
Texas since 03/16/1992
Firm type
Corporation
Fiscal year end
December
# of Employees
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
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.
