Ann M. Elliott

NATIXIS DISTRIBUTION

Boston, MA 02199-8197

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CRD#: 2240454

Professional summary

Ann Mcgrath Elliott, who also goes by Ann M Elliott, Annie Mcgrath Elliott, Ann Therese Mcgrath, Annie Mcgrath, is a registered financial professional currently at NATIXIS DISTRIBUTION, LLC located in Boston, Massachusetts.

Ann is registered as a RR (Registered Representative) and started their career in finance in 1992. Ann has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ann M Elliott | Annie Mcgrath Elliott | Ann Therese Mcgrath | Annie Mcgrath

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ann Mcgrath Elliott's 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®

None

Experience

Current

November 21, 2022 - Present

NATIXIS DISTRIBUTION, LLC

Office #1: 888 Boylston Street Suite 800, Boston, MA 02199-8197

CRD#: 34754

Boston, MA

Past

April 10, 2014 - October 26, 2022

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Past

December 17, 2010 - April 2, 2014

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

June 7, 2010 - December 6, 2010

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

ATLANTA, GA

Past

June 1, 2010 - December 6, 2010

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

April 22, 2004 - June 3, 2010

VAN KAMPEN ADVISORS INC

RIA

CRD#: 104703

NEW YORK, NY

Past

August 5, 1993 - June 1, 2010

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

December 10, 1992 - March 16, 1993

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(11/21/2022)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/14/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/8/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/1/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/8/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NATIXIS DISTRIBUTION, LLC

CRD#: 34754 / SEC#: , 8-46325

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

888 Boylston Street Suite 800, Boston, MA 02199-8197

Mailing Address

888 Boylston Street Suite 800, Boston, MA 02199-8197

Phone number

(617) 449-2828

Established

Delaware since 07/23/1993

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
NATIXIS INVESTMENT MANAGERS, LLC	SOLE MEMBER
GIUNTA, DAVID LAWRENCE	PRESIDENT, CHIEF EXECUTIVE OFFICER	2290469
LOUREIRO, ANTHONY DAVID	CHIEF COMPLIANCE OFFICER	2087464
PINASMITH, BEATRIZ ANA	EXECUTIVE VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER	2220599
ROSH, MARILYN VINTON	SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER	4206001
TOBIN, SUSAN MCWHAN	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL	4649471

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.

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Advisor Monitoring

Firm Stability Insights

Ann M. Elliott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ann Mcgrath Elliott's CRS (Customer Relationship Summary).

Certified licenses

Experience

JANUS HENDERSON DISTRIBUTORS US LLC

FIDELITY DISTRIBUTORS COMPANY LLC

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

VAN KAMPEN ADVISORS INC

INVESCO CAPITAL MARKETS, INC.

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/2001

Series 63

Date: 2/8/1995

SIE

Date: 10/1/2018

Series 7

Date: 8/1/1994

Series 6

Date: 12/8/1992

FINRA

Current Firm

NATIXIS DISTRIBUTION, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

NATIXIS DISTRIBUTION, LLC

TRUST BUT VERIFY

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