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AC

Anne K. Clendenny

RABO SECURITIES USA
NEW YORK, NY 10036
Some features on this profile are disabled
CRD#: 4148010
AC

Professional summary

Anne Kristel Clendenny, who also goes by Anne Kristel Whitlock, is a registered financial professional currently at RABO SECURITIES USA, INC. located in New York, New York.

Anne is registered as a RR (Registered Representative) and started their career in finance in 2007. Anne has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anne Kristel Whitlock

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 Kristel Clendenny'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

October 11, 2018 - Present

RABO SECURITIES USA, INC.

Office #1: 151 West 42nd Street 8th Floor, New York, NY 10036
BD
CRD#: 122657
NEW YORK, NY
Past

November 12, 2007 - May 31, 2018

SCOTTRADE, INC.

BD
CRD#: 8206
ST. LOUIS, MO

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
Missouri
(10/11/2018)
RR
New York
(10/11/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/31/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/10/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/15/2014
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/14/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RABO SECURITIES USA, INC.
RABO SECURITIES USA, INC. | RABO SECURITIES USA, INCORPORATED

CRD#: 122657 / SEC#: , 8-65525

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

Main Address
151 West 42nd Street 8th Floor, New York, NY 10036
Mailing Address
151 West 42nd Street 8th Floor, New York, NY 10036
Phone number
(212) 808-2548
Established
Delaware since 03/22/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
UTRECHT-AMERICA HOLDINGS, INCSOLE SHAREHOLDER
AMIN, SHREYASECRETARY7368182
BASSETT, DAVID FRANCISCHAIRMAN2802027
CHESTER, WILLIAM PETERDIRECTOR5868288
DEMAZURE PELLETIER, CHRISTINE MARIEDIRECTOR5481370
KITTEL, CHRISTOPHER FREDERICKCHIEF COMPLIANCE OFFICER2718043
KORMANEK, SHAWN PATRICKDIRECTOR7310810
LAMPER, KATHERINE SDIRECTOR5202959
LAZAROV, DUSAN OBRADDIRECTOR7904295
MARTENS, ANDREA MARIEFINANCIAL AND OPERATIONS PRINCIPAL1187593
PASDAR, NADERCHIEF EXECUTIVE OFFICER AND DIRECTOR4702711

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

RABO SECURITIES USA, INC.

CRD#: 122657New York, NY 10036

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