Ann M. Herrman
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 Marie Herrman, who also goes by Ann Marie Foley, Ann Marie Herrman, Anne Marie Mazzone, Ann Marie Reynolds, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1995. Ann had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2014 - October 3, 2016
PRESIDIO CAPITAL ADVISORS LLC
February 3, 2014 - August 12, 2016
PRESIDIO MERCHANT PARTNERS LLC
May 2, 2013 - June 10, 2014
CIRCLEUP
June 1, 2010 - December 18, 2012
PRESIDIO CAPITAL ADVISORS LLC
May 27, 2010 - September 3, 2010
PRESIDIO CAPITAL ADVISORS, LLC
May 27, 2010 - December 18, 2012
PRESIDIO MERCHANT PARTNERS LLC
November 10, 2009 - May 14, 2010
PROTECTED INVESTORS OF AMERICA
November 5, 2009 - May 14, 2010
PROTECTED INVESTORS OF AMERICA
January 23, 2009 - June 22, 2009
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - June 22, 2009
SECURITIES AMERICA, INC.
August 2, 2007 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
July 31, 2007 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
September 3, 1999 - July 20, 2007
LEGACY ADVISORY SERVICES, INC.
December 13, 1995 - July 20, 2007
LEGACY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PRESIDIO CAPITAL ADVISORS LLC
CRD#: 108531 / SEC#: 801-55261
Contact information
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.
