Annmarie C. Alaniz

METTE ASSOCIATES

TEMPE, AZ 85281

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CRD#: 2515829

Professional summary

Annmarie C Alaniz, who also goes by Annmarie Cardenas Alaniz, Annmarie Cardenas Beltran, Annmarie Beltran, is a registered financial advisor currently at METTE ASSOCIATES, LLC located in Tempe, Arizona.

Annmarie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Annmarie has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Annmarie Cardenas Alaniz | Annmarie Cardenas Beltran | Annmarie Beltran

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.

Global Sourcing Solutions Corporation Non-Investment related 2320 E Baseline Rd #148 Phoenix, AZ 85042 Supply Chain Management Managing Partner, est. July 2021 Hours: 4/day-off trading hours Duties: Operations, business development

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Annmarie C Alaniz'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

May 16, 2023 - Present

METTE ASSOCIATES, LLC

Office #1: 60 E Rio Salado Parkway, #900, Tempe, AZ 85281

RIA

CRD#: 140812

TEMPE, AZ

Past

March 12, 2019 - July 28, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

PHOENIX, AZ

Past

December 14, 2018 - July 28, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

PHOENIX, AZ

Past

September 15, 2011 - August 2, 2018

METTE ASSOCIATES, LLC

RIA

CRD#: 140812

SCOTTSDALE, AZ

Past

August 20, 2010 - August 25, 2011

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

October 31, 2007 - September 21, 2009

FINANCIAL LEADERSHIP ADVISORS, INC.

RIA

CRD#: 139864

MESA, AZ

Past

April 4, 2000 - October 10, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 11, 1999 - April 12, 2000

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

February 12, 1999 - February 24, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 28, 1998 - November 19, 1998

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

February 20, 1997 - June 15, 1998

DONALD & CO. SECURITIES INC.

CRD#: 7776

TINTON FALLS, NJ

Past

September 6, 1996 - February 21, 1997

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

Past

August 29, 1994 - October 13, 1994

SIMMERS CAPITAL MANAGEMENT CORPORATION

CRD#: 29960

PHOENIX, AZ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(5/16/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/22/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/10/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/14/2018

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 2/5/1998

General Securities Representative Examination

Current Firm

METTE ASSOCIATES, LLC

CRD#: 140812 / SEC#:

Arizona

Registered Investment Advisory firm - (1/23/2007 Approved)

California

Registered Investment Advisory firm - (10/9/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

60 E Rio Salado Parkway, #900, Tempe, AZ 85281

Mailing Address

Po Box 28334, Scottsdale, AZ 85255

Phone number

(480) 433-9760

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	16
AUM (Assets Under Management)	$ 62,511,099

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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Firm Stability Insights

Annmarie C. Alaniz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Annmarie C Alaniz's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

METTE ASSOCIATES, LLC

VANGUARD MARKETING CORPORATION

FINANCIAL LEADERSHIP ADVISORS, INC.

PRUDENTIAL EQUITY GROUP, LLC

PIPER SANDLER & CO.

CITIGROUP GLOBAL MARKETS INC.

RBC CAPITAL MARKETS, LLC

DONALD & CO. SECURITIES INC.

DICKINSON & CO.

SIMMERS CAPITAL MANAGEMENT CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/2019

Series 65

Date: 10/10/2007

SIE

Date: 12/15/2018

Series 6

Date: 12/14/2018

Series 7

Date: 2/5/1998

Current Firm

METTE ASSOCIATES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

METTE ASSOCIATES, LLC

TRUST BUT VERIFY

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