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AK

Anne M. Kaplan

1851 SECURITIES,
Hartford, CT 06102
Some features on this profile are disabled
CRD#: 4147608
AK

Professional summary

Anne Marie Kaplan, who also goes by Anne Marie Russell, Anne Marie Slupecki, is a registered financial professional currently at 1851 SECURITIES, INC located in Hartford, Connecticut.

Anne is registered as a RR (Registered Representative) and started their career in finance in 2000. Anne has worked at 4 firms and has passed the Series 99TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anne Marie Russell | Anne Marie Slupecki

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anne Marie Kaplan'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®
None

Experience

Current

March 2, 2011 - Present

1851 SECURITIES, INC

Office #1: One American Row, Hartford, CT 06102
BD
CRD#: 153006
Hartford, CT
Past

August 30, 2010 - September 23, 2021

SAYBRUS EQUITY SERVICES, LLC

BD
CRD#: 153319
HARTFORD, CT
Past

February 4, 2009 - September 22, 2010

AXCELUS FINANCIAL DISTRIBUTION COMPANY

BD
CRD#: 38383
HARTFORD, CT
Past

September 19, 2000 - February 4, 2009

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/18/2000
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

1S
1851 SECURITIES, INC
1851 SECURITIES, INC

CRD#: 153006 / SEC#: , 8-68495

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One American Row, Hartford, CT 06102
Mailing Address
One American Row, Hartford, CT 06102
Phone number
(860) 403-5783
Established
Delaware since 01/06/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NSRE BD HOLDCO, LLCPARENT COMPANY
ANDERSON, STEPHEN FRANCISCHIEF COMPLIANCE OFFICER1181095
BUCKINGHAM, THOMAS MARTINDIRECTOR
GUAZZELLI, SUSAN LEEDIRECTOR3248683
HOSNER, PETER WILLIAM JRCFO, PFO, POO, FINOP3233909
SHAO, JUNPINGPRESIDENT7637837

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

1851 SECURITIES, INC

CRD#: 153006Hartford, CT 06102

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