Anne Headlee
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 Headlee, who also goes by Nikki Headlee, Anne Rogers, Nikki Rogers, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1984. Anne had worked at 8 firms and has passed the Series 65, Series 63 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
January 16, 2007 - October 31, 2017
ASSET ONE LLC
January 5, 2007 - December 21, 2007
OSAIC SERVICES, INC.
January 24, 2000 - December 31, 2006
CETERA ADVISORS LLC
January 1, 1999 - December 31, 2006
HEADLEE FINANCIAL SERVICES
January 9, 1997 - December 31, 2006
CETERA ADVISORS LLC
January 4, 1993 - January 29, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 4, 1993 - January 29, 1997
OSAIC FA, INC.
July 23, 1987 - January 1, 1993
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
October 4, 1984 - August 5, 1987
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ASSET ONE LLC
CRD#: 106276 / SEC#: 801-46986
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
