Cary J. Amann

A-V CAPITAL MANAGEMENT

Metairie, LA 70001

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CRD#: 2571453

Professional summary

Cary Joseph Amann is a registered financial advisor currently at A-V CAPITAL MANAGEMENT, LLC located in Metairie, Louisiana.

Cary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Cary has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Cary Joseph Amann'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

April 22, 2009 - Present

A-V CAPITAL MANAGEMENT, LLC

Office #1: One Galleria Blvd Suite 1900 - 249, Metairie, LA 70001

RIA

CRD#: 142599

Metairie, LA

Past

September 10, 2004 - February 1, 2007

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

NEW ORLEANS, LA

Past

October 5, 2001 - February 1, 2007

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

NEW ORLEANS, LA

Past

August 14, 2000 - October 19, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 16, 1995 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

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

Louisiana
(4/22/2009)

IAR

Texas
(5/30/2012)

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

IAR

Series 65

Date: 5/12/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/15/1995

General Securities Representative Examination

Current Firm

A-V CAPITAL MANAGEMENT, LLC

CRD#: 142599 / SEC#: 801-67385

RIA

Registered Investment Advisory firm - (6/21/2012 Terminated)

Louisiana

Registered Investment Advisory firm - (5/21/2012 Approved)

Texas

Registered Investment Advisory firm - (6/15/2012 Approved)

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

One Galleria Blvd Suite 1900 - 249, Metairie, LA 70001

Mailing Address

Po Box 55700, Metairie, LA 70055-5700

Phone number

(504) 831-3537

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	133
AUM (Assets Under Management)	$ 57,069,640

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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Cary J. Amann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cary Joseph Amann's CRS (Customer Relationship Summary).

Certified licenses

Experience

A-V CAPITAL MANAGEMENT, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/2009

Series 63

Date: 3/29/1995

Series 7

Date: 3/15/1995

Current Firm

A-V CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

A-V CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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