Ann Schroeder
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 Schroeder 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 3 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
March 16, 2011 - October 6, 2015
PARTNERCAP SECURITIES, LLC
April 29, 2005 - January 2, 2009
DELTEC ASSET MANAGEMENT LLC
November 14, 1997 - December 31, 2001
VCROSS CAPITAL MARKETS LLC
November 16, 1994 - March 4, 1996
STIRES & CO., INC.
March 18, 1992 - February 12, 1993
MIDWOOD SECURITIES, INC.
April 24, 1989 - June 20, 1991
NATHAN & LEWIS SECURITIES, INC.
August 22, 1988 - April 12, 1989
NEW ENGLAND SECURITIES
May 30, 1984 - August 31, 1988
LEHMAN BROTHERS 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
Current Firm
PARTNERCAP SECURITIES, LLC
CRD#: 107130 / SEC#: , 8-66997
Contact information
FINRA licenses (11 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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