Ann L. Funkhouser
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 Lesley Funkhouser, who also goes by Ann Funkhouser, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1997. Ann had worked at 2 firms and has passed the Series 16 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2011 - April 1, 2021
SANTANDER INVESTMENT SECURITIES INC.
May 30, 1997 - June 15, 2009
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Current Firm
SANTANDER INVESTMENT SECURITIES INC.
CRD#: 37216 / SEC#: 801-70715, 8-47664
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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