Ann S. Shammas
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 Sabrina Shammas, who also goes by Ann Sabrina Harms, Ann Shammas Harms, Ann Harms, Ann Sabrina Harmsshammas, Ann Sabrina Muhawi, Ann Muhawi, Hanan Muhawi, Hanan Sabrina Shammas, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1986. Ann had worked at 10 firms and has passed the Series 65, Series 66, Series 63, Series 31, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2013 - June 20, 2014
WADDELL & REED
March 18, 2013 - June 20, 2014
WADDELL & REED
April 28, 2010 - January 25, 2011
CLARK DODGE & CO., INC.
September 7, 2007 - April 27, 2009
ADVANCED EQUITIES, INC.
September 6, 2007 - April 27, 2009
ADVANCED EQUITIES, INC.
November 2, 2004 - September 19, 2007
UBS FINANCIAL SERVICES INC.
November 2, 2004 - September 19, 2007
UBS FINANCIAL SERVICES INC.
July 26, 2000 - November 3, 2004
MORGAN STANLEY DW INC.
April 28, 2000 - November 3, 2004
MORGAN STANLEY DW INC.
July 1, 1998 - May 19, 2000
COWEN AND COMPANY
May 5, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
April 21, 1993 - May 14, 1997
WELLS FARGO SECURITIES, LLC
December 4, 1990 - January 12, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 1986 - July 23, 1987
SABRINA INVESTMENTS, 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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
