Anna Piech
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.
Anna Piech, who also goes by Ania Piech, was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 2000. Anna had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2012 - December 13, 2016
OCM INVESTMENTS, LLC
August 3, 2011 - August 13, 2012
FOOTHILL SECURITIES, INC.
August 16, 2004 - November 13, 2009
ASSOCIATED SECURITIES CORP.
September 25, 2002 - April 2, 2004
FSC SECURITIES CORPORATION
November 15, 2000 - August 15, 2001
TD AMERITRADE, INC.
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
OCM INVESTMENTS, LLC
CRD#: 128803 / SEC#: , 8-66176
Contact information
FINRA licenses (52 States and Territories)
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.
