Ann M. Mamer
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 Margaret Mamer was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1985. Ann had worked at 6 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2021 - July 29, 2022
SVB INVESTMENT SERVICES INC.
September 7, 2021 - June 28, 2023
SVB WEALTH
September 7, 2021 - June 28, 2023
SVB INVESTMENT SERVICES INC.
September 20, 2006 - April 16, 2021
CHARLES SCHWAB & CO., INC.
November 3, 2005 - April 16, 2021
CHARLES SCHWAB & CO., INC.
January 12, 2005 - October 25, 2005
WELLS FARGO INVESTMENTS, LLC
March 4, 1992 - September 24, 2004
CHARLES SCHWAB & CO., INC.
April 12, 1991 - November 12, 1991
COWEN PRIME SERVICES TRADING LLC
November 25, 1985 - March 27, 1991
PACIFIC COAST INDEPENDENT BROKERAGE, 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/21/2004
Limited Representative-Equity Trader ExamSeries 8
Date: 11/13/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SVB INVESTMENT SERVICES INC.
CRD#: 168116 / SEC#: 801-78209, 8-70327
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,816 |
| AUM (Assets Under Management) | $ 1,465,036,204 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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