Ann Prasch
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 Prasch, who also goes by Ann Mickewicz, Ann Mickewicz Sobocinski, Ann Sobocinski, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1984. Ann had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 31 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
December 15, 2008 - June 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 15, 2008 - June 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2007 - December 17, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - December 17, 2008
MORGAN STANLEY & CO. LLC
November 4, 1993 - April 2, 2007
MORGAN STANLEY DW INC.
October 28, 1993 - April 2, 2007
MORGAN STANLEY DW INC.
January 29, 1993 - October 14, 1993
BARNETT INVESTMENTS, INC.
February 6, 1990 - November 6, 1992
NEW ENGLAND SECURITIES
July 25, 1988 - January 11, 1990
ACCUVEST, LTD.
April 5, 1988 - August 11, 1988
FIRST EMPIRE SECURITIES, INC.
June 2, 1987 - April 21, 1988
E. F. HUTTON & COMPANY INC
September 17, 1986 - August 11, 1988
FIRST EMPIRE SECURITIES, INC.
August 21, 1984 - July 22, 1986
MACPEG, ROSS, O'CONNELL & GOLDABER, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
