Anne G. Powers
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 Gelineau Powers, who also goes by Anne Marie Gelineau Mcgann, Anne Gelineau Powers, Anne Marie Gelineau-mcgann, Anne Marie Gelineaumcgann, Anne Marie Powers, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1998. Anne had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2017 - December 31, 2019
MML INVESTORS SERVICES, LLC
March 25, 2017 - December 31, 2024
MML INVESTORS SERVICES, LLC
August 22, 2016 - December 31, 2016
MSI FINANCIAL SERVICES, INC.
August 19, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
August 4, 2008 - August 2, 2016
INVESTMENT PROFESSIONALS, INC.
August 4, 2008 - August 2, 2016
INVESTMENT PROFESSIONALS, INC.
June 5, 2006 - July 31, 2008
OSAIC INSTITUTIONS, INC.
May 26, 2006 - July 31, 2008
OSAIC INSTITUTIONS, INC.
October 20, 2004 - May 16, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - May 16, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 7, 2004 - October 20, 2004
QUICK & REILLY, INC.
November 8, 2002 - October 20, 2004
QUICK & REILLY, INC.
July 29, 2001 - November 6, 2002
INVEST FINANCIAL CORPORATION
September 9, 1998 - November 6, 2002
INVEST FINANCIAL CORPORATION
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
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
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
