Ann M. Graziani
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 M Graziani, who also goes by Ann Marie Graziani, Anna Graziani, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1992. Ann had worked at 7 firms and has passed the 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
August 25, 2010 - January 10, 2013
NATIONAL SECURITIES CORPORATION
July 1, 2003 - June 8, 2010
WELLS FARGO CLEARING SERVICES, LLC
May 20, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 12, 1998 - July 31, 2001
ONECORE SECURITIES, INC.
February 6, 1997 - November 11, 1998
NATIONAL FINANCIAL SERVICES LLC
April 11, 1995 - November 16, 1995
LEHMAN BROTHERS INC.
October 9, 1993 - November 7, 1994
LEHMAN BROTHERS INC.
January 8, 1992 - September 13, 1993
FIDELITY BROKERAGE SERVICES LLC
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
