Anne M. Kloska
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 Marie Kloska, who also goes by Anne Marie Kloska, Anne Masla Kloska, Anne Kloska, Anne Marie Masla, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1986. Anne had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2019 - January 7, 2022
FIDELITY BROKERAGE SERVICES LLC
March 28, 2014 - December 12, 2017
FIDELITY BROKERAGE SERVICES LLC
August 1, 2011 - April 2, 2012
FIDELITY BROKERAGE SERVICES LLC
May 31, 2011 - June 23, 2011
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
August 6, 2008 - May 2, 2011
FIDELITY BROKERAGE SERVICES LLC
October 9, 2006 - May 20, 2008
TOUCHSTONE SECURITIES, INC.
March 19, 2004 - January 4, 2005
FIFTH THIRD SECURITIES, INC.
May 12, 1994 - March 8, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
April 30, 1993 - April 4, 1994
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 9, 1989 - August 14, 1991
USF&G INVESTMENT SERVICES, INC.
October 15, 1986 - August 8, 1989
GRADISON & COMPANY INCORPORATED
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 7TO
Date: 7/1/2024
General Securities Representative ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
