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Anne Elizabeth Enna

HOLLISTER ASSOCIATES
MOUNT PLEASANT, SC
·CRD# 2537451·17 years experience

Professional Summary

Anne Elizabeth Enna is a registered financial advisor currently at HOLLISTER ASSOCIATES, LLC located in Mount Pleasant, South Carolina. Anne is registered as a RR (Registered Representative) and started their career in finance in 2004. Anne has worked at 3 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

17 years in the financial services industry

Current & Past Employments

HOLLISTER ASSOCIATES, LLC·CRD# 173366
BD
Mount Pleasant, SC
October 28, 2016 - Present
LIBERTY TREE ADVISORS, LLC·CRD# 143679
BD
Acton, MA
February 15, 2011 - October 26, 2016
HOULIHAN LOKEY ADVISORS, LLC·CRD# 127835
BD
San Francisco, CA
December 2, 2004 - February 17, 2006

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Current Firm

HA
HOLLISTER ASSOCIATES, LLC

HOLLISTER ASSOCIATES, LLC

CRD#: 173366 / SEC#: 8-69538
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Contact Information

Main Address

257 River Oak Drive, Mount Pleasant, SC 29464

Mailing Address

257 River Oak Drive, Mount Pleasant, SC 29464

Phone Number

(401) 465-3080

Established

South Carolina since 09/09/2014

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOLLISTER, CHRISTOPHER VERNCEO/CCO5637565
CLIFFHANGER INVESTMENTS, LLCOWNER—
KUGLER, JACQUESOWNER5105697
MADABA INVESTMENTS, LLCOWNER—
PORTWOOD, WILLIAM BOYCECFO/FINOP4853700

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(10/28/2016)
RR
Connecticut
(7/28/2023)
RR
Illinois
(7/27/2023)
RR
Massachusetts
(3/3/2020)
RR
New York
(1/6/2018)
RR
Pennsylvania
(7/2/2019)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2011About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Dec 2012About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Feb 2011About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Anne Elizabeth Enna's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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