CA
Craig D. Ammon
STATE STREET GLOBAL MARKETS
Boston, MA 02114-2016
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CRD#: 2953506
CA
Professional summary
Craig David Ammon MR. is a registered financial professional currently at STATE STREET GLOBAL MARKETS, LLC located in Boston, Massachusetts.
Craig is registered as a RR (Registered Representative) and started their career in finance in 1997. Craig has worked at 6 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 3, Series 25, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Craig David Ammon MR.'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®
NoneExperience
Current
May 1, 2017 - Present
STATE STREET GLOBAL MARKETS, LLC
Office #1: One Congress Street, Suite 1, Boston, MA 02114-2016BD
CRD#: 285852
Boston, MA
Past
December 1, 2011 - May 1, 2017
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
Past
May 12, 2008 - December 2, 2011
PULSE TRADING, INC.
BD
CRD#: 104022
BOSTON, MA
Past
March 6, 2007 - May 5, 2008
TICONDEROGA SECURITIES LLC
BD
CRD#: 7671
NEW YORK, NY
Past
April 12, 2002 - March 5, 2007
TP ICAP GLOBAL MARKETS AMERICAS LLC
BD
CRD#: 2762
NEW YORK, NY
Past
April 5, 2000 - April 18, 2002
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
November 18, 1997 - June 26, 1998
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/1/2017)
RR
Alaska(5/1/2017)
RR
Arizona(5/1/2017)
RR
Arkansas(5/1/2017)
RR
California(5/1/2017)
RR
Colorado(5/1/2017)
RR
Connecticut(5/1/2017)
RR
Delaware(5/1/2017)
RR
District of Columbia(5/1/2017)
RR
Florida(5/1/2017)
RR
Georgia(5/1/2017)
RR
Hawaii(5/1/2017)
RR
Idaho(5/1/2017)
RR
Illinois(5/1/2017)
RR
Indiana(5/1/2017)
RR
Iowa(5/1/2017)
RR
Kansas(5/1/2017)
RR
Kentucky(5/1/2017)
RR
Louisiana(5/1/2017)
RR
Maine(5/1/2017)
RR
Maryland(5/1/2017)
RR
Massachusetts(5/1/2017)
RR
Michigan(5/1/2017)
RR
Minnesota(5/1/2017)
RR
Mississippi(5/1/2017)
RR
Missouri(5/1/2017)
RR
Montana(5/1/2017)
RR
Nebraska(5/1/2017)
RR
Nevada(5/1/2017)
RR
New Hampshire(5/1/2017)
RR
New Jersey(5/1/2017)
RR
New Mexico(5/1/2017)
RR
New York(5/1/2017)
RR
North Carolina(5/1/2017)
RR
North Dakota(5/1/2017)
RR
Ohio(5/1/2017)
RR
Oklahoma(5/1/2017)
RR
Oregon(5/1/2017)
RR
Pennsylvania(5/1/2017)
RR
Rhode Island(5/1/2017)
RR
South Carolina(5/1/2017)
RR
South Dakota(5/1/2017)
RR
Tennessee(5/1/2017)
RR
Texas(5/1/2017)
RR
Utah(5/1/2017)
RR
Vermont(5/1/2017)
RR
Virgin Islands(5/1/2017)
RR
Virginia(5/1/2017)
RR
Washington(5/1/2017)
RR
West Virginia(5/1/2017)
RR
Wisconsin(5/1/2017)
RR
Wyoming(5/1/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/6/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 10/4/2002
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
RR
Series 55
Date: 5/4/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
SS
STATE STREET GLOBAL MARKETS, LLC
STATE STREET GLOBAL MARKETS, LLC | STATE STREET NEWCO, LLC
CRD#: 285852 / SEC#: , 8-69862
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Mailing Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Phone number
(617) 664-3619
Established
Delaware since 10/07/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET CORPORATION | PARENT COMPANY | |
| BAMBINO, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 4237874 |
| CHARLAND, JOSEPH LEONARD | DIRECTOR | 5183891 |
| FORTUNA, GREGORY PAUL | DIRECTOR | 3168105 |
| MARZILIANO, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1527133 |
| MAXHAM, DAVID GOULD | DIRECTOR | 6372664 |
| MCKEON, ROBERT A | DIRECTOR | 7638847 |
| MORGAN, DANIEL ROBERT | CHIEF EXECUTIVE OFFICER | 2743457 |
| SIGLAIN, TARYN ANN | DIRECTOR | 5163466 |
| SOR, LY | DIRECTOR | 7996223 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
Disclosures
| Regulatory Event | 4 |
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.
Company Information
STATE STREET GLOBAL MARKETS, LLC
CRD#: 285852Boston, MA 02114-2016TRUST BUT VERIFY
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