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AC

Anna P. Carlyle

CETERA INVESTMENT ADVISERS LLC
DALLAS, TX
Some features on this profile are disabled
CRD#: 2190953
AC

Professional summary

Anna Pipes Carlyle, CFP®, who also goes by Ann Louis Pipes, Anna Louise Pipes, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.

Anna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Anna has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ann Louis Pipes | Anna Louise Pipes

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.
Fiduciary Appointment-Trustee~'NIR'~11117 Carissa Dr~Dallas~TX~75218~1/28/2016~2hrs~0hrs~Managing assets of the Trust for benefit of my mother (in addition to being the registered rep)| TriVita~'NIR'~2502 Live Oak St 215~Dallas~TX~75204~Multi-level/Network Marketing (Amway, etc.)~Multi-level/Network Marketing~5/3/2010~0hrs~0hrs~I am doing nothing in this business, but my husband added me on to his account in the sale of nutritional products. Estate of Mary L Strickland~'NIR'~11117 Carissa Dr~Dallas~TX~75218~No Outside Business Activities - Investments Only~Executor~1/28/2016~0hrs~0hrs~Managing any future events of the Estate American Institute of Certified Public Accountants~'NIR'~4919 McKinney Ave~Dallas~TX~75205~School/College Professor/Teacher/Administrator~Teacher/Professor/Trainer~11/30/2011~4hrs~0hrs~Develop questions for the Uniform CPA Examination. All questions accepted for the exam are paid $40/each. APC CPA's~'NIR'~4919 McKinney Ave~Dallas~TX~75205~Tax Preparation/Accounting~Tax Preparation/Accounting~4/16/2003~100hrs~50hrs~preparing & filing income tax returns|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anna Pipes Carlyle'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®
CFP®

Certified Financial Planner

Start date: 1994

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
DALLAS, TX
Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 4030 Swiss Ave, Dallas, TX 75204
BD
CRD#: 13572
Dallas, TX
Past

August 7, 2014 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Dallas, TX
Past

April 16, 2003 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Dallas, TX
Past

May 2, 1996 - April 30, 2003

LPL FINANCIAL LLC

RIA
CRD#: 6413
DALLAS, TX
Past

May 1, 1996 - April 30, 2003

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

February 20, 1996 - April 22, 1996

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

February 16, 1996 - April 22, 1996

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

February 22, 1995 - February 2, 1996

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

November 29, 1991 - January 30, 1995

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

November 29, 1991 - January 30, 1995

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(9/5/2025)
RR
Texas
(9/5/2025)
IAR
Texas
(9/5/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/27/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/27/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/27/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/13/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Dallas, TX

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