Anne M. Fraas
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.
Anne Marie Fraas was a registered financial advisor .
Anne is a previously registered financial advisor and started their career in finance in 1997. Anne had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2005 - June 14, 2007
NFSG CORPORATION
July 17, 2003 - June 13, 2007
NEWBRIDGE SECURITIES CORPORATION
November 19, 2001 - May 22, 2003
CITIGROUP GLOBAL MARKETS INC.
May 1, 2001 - May 22, 2003
CITIGROUP GLOBAL MARKETS INC.
November 23, 1999 - April 17, 2001
EMERSON BENNETT & ASSOCIATES
September 15, 1997 - November 12, 1999
THE AGEAN GROUP, INC
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
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
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
