Anne M. Hasbrook
Professional summary
Anne Marie Hasbrook, AIF®, who also goes by Anne Marie Hasbrook Smith, Anne Hasbrook Smith, Anne Marie Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sacramento, California and CETERA WEALTH SERVICES, LLC located in Sacramento, California.
Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Anne has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Anne Marie Hasbrook's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 3100 Zinfandel Dr Ste 255, Rancho Cordova, CA 95670April 25, 2017 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 3100 Zinfandel Dr Ste 255, Rancho Cordova, CA 95670April 25, 2017 - June 29, 2023
CETERA WEALTH SERVICES, LLC
October 3, 2016 - April 25, 2017
CETERA ADVISORS LLC
October 3, 2016 - April 25, 2017
CETERA ADVISORS LLC
January 10, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
April 7, 2003 - December 31, 2004
EASTERN POINT ADVISORS INC.
April 7, 2003 - October 3, 2016
INVESTORS CAPITAL CORP.
February 5, 2003 - April 2, 2003
CITICORP INVESTMENT SERVICES
July 30, 1997 - February 5, 2003
CAL FED INVESTMENTS
January 5, 1996 - July 17, 1997
CUNA BROKERAGE SERVICES, INC.
February 1, 1994 - December 22, 1995
CETERA WEALTH SERVICES, LLC
July 12, 1993 - February 16, 1994
CUNA BROKERAGE SERVICES, INC.
May 26, 1992 - July 20, 1993
METROPOLITAN LIFE INSURANCE COMPANY
May 26, 1992 - July 20, 1993
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/16/2019)
(4/25/2017)
(6/29/2023)
(11/30/2020)
(4/25/2017)
(4/25/2017)
(3/13/2023)
(9/16/2019)
(6/25/2021)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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