Ann B. Rackers
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 Branch Rackers, who also goes by Ann Elizabeth Branch, Ann Elizabeth Rackers, Annie Rackers, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1986. Ann had worked at 7 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
July 30, 2007 - January 2, 2019
MONETA GROUP INVESTMENT ADVISORS, LLC
May 10, 2004 - July 2, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 23, 1998 - May 20, 2004
WS GRIFFITH SECURITIES, INC.
June 17, 1992 - May 11, 1998
CIBC WORLD MARKETS CORP.
June 14, 1989 - June 26, 1992
LEHMAN BROTHERS INC.
March 4, 1987 - June 19, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
September 29, 1986 - March 3, 1987
R. ROWLAND & CO., INCORPORATED
Primary Firm SEC Registration
MONETA GROUP INVESTMENT ADVISORS, LLC
CRD#: 104727 / SEC#: 801-34723
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
MONETA GROUP INVESTMENT ADVISORS, LLC
CRD#: 104727 / SEC#: 801-34723
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 44,504 |
| AUM (Assets Under Management) | $ 42,795,577,115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/09/2024 | ||
| 11/20/2023 | ||
| 01/03/2023 |
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.
