Rachael A. Ager
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.
Rachael Ann Ager, who also goes by Rachael Ann Rutkin, was a registered financial professional .
Rachael is a previously registered financial professional and started their career in finance in 2001. Rachael 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
November 30, 2006 - September 12, 2017
ARNERICH MASSENA, INC.
January 17, 2001 - January 21, 2005
AM&A SECURITIES, INC.
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
ARNERICH MASSENA, INC.
CRD#: 116395 / SEC#: 801-61109
Contact information
Regulatory assets under management
| Total Number of Accounts | 253 |
| AUM (Assets Under Management) | $ 1,732,580,086 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/17/2023 | ||
| 01/03/2023 | ||
| 02/01/2022 |
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.
