Ann E. Deaton

ANGELES WEALTH MANAGEMENT

HOUSTON, TX

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CRD#: 1456459

Professional summary

Ann Estelle Deaton, CIMA® is a registered financial advisor currently at ANGELES WEALTH MANAGEMENT, LLC located in Houston, Texas.

Ann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Ann has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) GREATER HOUSTON COMMUNITY FOUNDATION, INVESTMENT-RELATED, 4550 POST OAK PLACE DR., #100, HOUSTON, TX 77027, INVESTMENT COMMITTEE, 01/2002, DEVOTE 1/2 HR PER MONTH, DEVOTE 0 HRS DURING SECURITIES TRADING HRS, OVERSEES THE INVESTMENT CONSULTANT AND VOTE ON INVESTMENT COMMITTEE MATTERS. 2) FAIR DAY FARM, NOT INVESTMENT-RELATED, 2720 ENGELBRECHT ROAD, BURTON, TX, OIL AND GAS LEASE OF FARM PROPERTY, SOLE PROPRIETORSHIP, OWNER OF LAND, 07/2015, 0 HOURS PER MONTH DEVOTED TO ACTIVITY. 3) Goodwill Foundation, Houston TX, Board Member, 5/2016, 1 hour/month, none during market hours 4) Girl Scouts of San Jacinto; non investment-related; Houston, TX; Board Member; 06/2020; >1 hour/month; none during market hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ann Estelle Deaton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

June 15, 2022 - Present

ANGELES WEALTH MANAGEMENT, LLC

RIA

CRD#: 159952

HOUSTON, TX

Past

June 30, 2021 - March 4, 2022

U.S. CAPITAL WEALTH ADVISORS, LLC

RIA

CRD#: 288199

AUSTIN, TX

Past

December 2, 2010 - June 30, 2021

USCA RIA LLC

RIA

CRD#: 152170

HOUSTON, TX

Past

December 2, 2010 - March 4, 2022

USCA SECURITIES LLC

CRD#: 103789

HOUSTON, TX

Past

August 11, 2006 - December 7, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

June 2, 2006 - December 7, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

Past

December 16, 2002 - July 21, 2003

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

December 6, 2001 - April 1, 2003

ROXBURY CAPITAL MANAGEMENT LLC

RIA

CRD#: 108832

SANTA MONICA, CA

Past

May 31, 2000 - February 28, 2001

HITHERLANE PARTNERS, LLC

CRD#: 46604

BOCA RATON, FL

Past

March 28, 1988 - February 14, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 19, 1986 - April 14, 1988

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ANGELES WEALTH MANAGEMENT, LLC

CRD#: 159952 / SEC#: 801-72992

RIA

Registered Investment Advisory firm - (1/3/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(6/15/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/10/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/29/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/19/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 6/6/1990

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ANGELES WEALTH MANAGEMENT, LLC

CRD#: 159952 / SEC#: 801-72992

RIA

Registered Investment Advisory firm - (1/3/2012 Approved)

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Contact information

Main Address

429 Santa Monica Blvd Suite 650, Santa Monica, CA 90401

Mailing Address

Phone number

(310) 393-6300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 AWM ANNUAL AMENDMENT ADV 2A_FINAL (3/27/2025)

Regulatory assets under management

Total Number of Accounts	178
AUM (Assets Under Management)	$ 2,271,897,955

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.

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Firm Stability Insights

Ann E. Deaton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ann Estelle Deaton's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. CAPITAL WEALTH ADVISORS, LLC

USCA RIA LLC

USCA SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

FORESIDE FUNDS DISTRIBUTORS LLC

ROXBURY CAPITAL MANAGEMENT LLC

HITHERLANE PARTNERS, LLC

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

ANGELES WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2006

Series 65

Date: 4/29/1993

Series 63

Date: 2/19/1986

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1986

Series 8

Date: 6/6/1990

Current Firm

ANGELES WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANGELES WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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