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AL

Annette E. Laplant

CAPITAL MANAGEMENT SECURITIES
Minneapolis, MN 55431-1120
Some features on this profile are disabled
CRD#: 2541286
AL

Professional summary

Annette Elaine Laplant, who also goes by Annette Elaine Ringdahl, is a registered financial professional currently at CAPITAL MANAGEMENT SECURITIES, INC. located in Minneapolis, Minnesota.

Annette is registered as a RR (Registered Representative) and started their career in finance in 2007. Annette has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 2 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Annette Elaine Ringdahl

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Annette Elaine Laplant's CRS (Customer Relationship Summary).
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

April 2, 2015 - Present

CAPITAL MANAGEMENT SECURITIES, INC.

Office #1: 7900 Xerxes Ave S. #500, Minneapolis, MN 55431-1120
BD
CRD#: 10579
Minneapolis, MN
Past

March 14, 2008 - November 20, 2013

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

August 3, 2007 - August 31, 2007

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
PLYMOUTH, MN

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Minnesota
(4/2/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 5/7/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/1/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 12/8/1994
Non-Member General Securities Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CAPITAL MANAGEMENT SECURITIES, INC.
CAPITAL MANAGEMENT ASSOCIATES, INC. | RONIN ADVISORY | FIRST ADVISORS | CAPITAL MANAGEMENT SECURITIES, INC.

CRD#: 10579 / SEC#: , 8-27779

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7900 Xerxes Ave S. #500, Minneapolis, MN 55431-1120
Mailing Address
7900 Xerxes Avenue S #500, Minneapolis, MN 55431-1120
Phone number
(952) 893-1200
Established
Minnesota since 04/07/1975
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CMA FINANCIAL, INCOWNER
GLENNIE, MELISSA LEAHSROP, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, MSRB PRINCIPAL, CFO, COO, FINOP, PFO, POO2221936
LUING, THOMAS ALFREDPRESIDENT, PRINCIPAL1502743
STROH, GREGORY ALANCEO, PRINCIPAL, FINOP, MSRB PRINCIPAL, CHAIRMAN704342

Disclosures

Regulatory Event2

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.

Company Information

CAPITAL MANAGEMENT SECURITIES, INC.

CRD#: 10579Minneapolis, MN 55431-1120

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