Ann F. Dirksen
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.
Ann Florence Dirksen, who also goes by Ann F Mcredmond, Ann Florence Mcredmond, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1996. Ann had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2011 - June 13, 2012
NUVEEN ASSET MANAGEMENT, LLC
January 3, 2011 - June 13, 2012
NUVEEN SECURITIES, LLC
January 31, 2008 - January 3, 2011
QUASAR DISTRIBUTORS, LLC
September 19, 2007 - January 2, 2008
HSBC SECURITIES (USA) INC.
August 22, 2005 - May 17, 2006
MORGAN STANLEY DW INC.
November 27, 1996 - July 29, 2005
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
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
NUVEEN ASSET MANAGEMENT, LLC
CRD#: 155584 / SEC#: 801-71957
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 71,370 |
| AUM (Assets Under Management) | $ 259,916,966,911 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/21/2025 | ||
| 12/19/2024 | ||
| 12/15/2023 | ||
| 12/15/2022 |
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.
