Ann L. Krumholz
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 Louise Krumholz, who also goes by Ann Louise Piazza, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1994. Ann had worked at 2 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
June 8, 2010 - July 12, 2017
JOHN F SUBY WEALTH MANAGEMENT LLC
March 8, 1994 - February 22, 1996
FIRSTAR INVESTMENT SERVICES,INC.
Primary Firm SEC Registration
JOHN F SUBY WEALTH MANAGEMENT LLC
CRD#: 150824 / SEC#: 801-70434
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
JOHN F SUBY WEALTH MANAGEMENT LLC
CRD#: 150824 / SEC#: 801-70434
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 286 |
| AUM (Assets Under Management) | $ 427,505,173 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/18/2023 | ||
| 10/31/2022 |
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.
