Anna R. Van Ophem
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.
Anna R Van Ophem, who also goes by Annarose Oakley, Annarose Oakleyvanophem, Annarose Van Ophem, Annarose Vanophem, was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 1994. Anna had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2019 - January 25, 2022
AMERICAN CENTURY INVESTMENT SERVICES INC.
September 6, 2016 - August 9, 2018
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 2, 2014 - January 21, 2015
EMPOWER FINANCIAL SERVICES, INC.
August 9, 2006 - September 2, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
February 10, 1999 - April 18, 2000
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
October 24, 1996 - September 2, 1998
DEAM INVESTOR SERVICES, INC.
December 21, 1994 - October 1, 1996
ALIGHT FINANCIAL SOLUTIONS, LLC
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
AMERICAN CENTURY INVESTMENT SERVICES INC.
CRD#: 17437 / SEC#: , 8-35220
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN CENTURY COMPANIES, INC. | PARENT COMPANY | |
| LUCHINSKY, RICHARD TODD | SVP, PRESIDENT | 2065489 |
| PAK, JOHN DONGJIN | CLO | 3226458 |
| REDLINE, CHERYL LOUISE | TREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5371811 |
| SCHAPPERT, BRIAN JOSEPH | SVP, DIRECTOR | 5362490 |
| SHELTON, AMY DIANE | CCO | 2556023 |
| SMITH, RICHARD ANDREW | SVP, DIRECTOR | 6109979 |
| TURNER, MICHAEL RYAN | DIRECTOR | 5469914 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
