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AS

Ann M. Sherman

CANACCORD GENUITY LLC
BOSTON, MA 02109
Some features on this profile are disabled
CRD#: 4279010
AS

Professional summary

Ann Marie Sherman, who also goes by Ann Marie Dow, is a registered financial professional currently at CANACCORD GENUITY LLC located in Boston, Massachusetts.

Ann is registered as a RR (Registered Representative) and started their career in finance in 2000. Ann has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ann Marie Dow

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 Ann Marie Sherman's CRS (Customer Relationship Summary).
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

August 16, 2023 - Present

CANACCORD GENUITY LLC

Office #1: 1 Post Office Square 30th Floor, Boston, MA 02109
BD
CRD#: 1020
BOSTON, MA
Past

September 24, 2012 - August 15, 2023

SANTANDER SECURITIES LLC

BD
CRD#: 41791
Dorchester, MA
Past

February 3, 2006 - August 28, 2012

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
NORWOOD, MA
Past

December 18, 2000 - July 2, 2004

FEDERATED SECURITIES CORP.

BD
CRD#: 5009
PITTSBURGH, PA

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
Massachusetts
(8/16/2023)
RR
New York
(8/16/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/5/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/14/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/22/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CG
CANACCORD GENUITY LLC
ADAMS HARKNESS, INC. | CANACCORD GENUITY LLC. | CANACCORD GENUITY LLC | CANACCORD GENUITY INC. | CANACCORD ADAMS INC. | ADAMS, HARKNESS & HILL, INC.

CRD#: 1020 / SEC#: , 8-3271

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

Main Address
One Pennsylvania Plaza Suite 2900, New York, NY 10119
Mailing Address
1 Post Office Square, Boston, MA 02109
Phone number
(212) 389-8000
Established
Delaware since 02/26/2004
Firm type
Limited Liability Company
Fiscal year end
March
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

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CANACCORD ADAMS (DELAWARE) INC.PARENT
ANDERSON, SCOTT WINFREECHIEF COMPLIANCE OFFICER5800524
BARLOW, JEFFREY GRIFFINCHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR2277052
DAVIAU, DANIEL JOSEPHNON- EXECUTIVE DIRECTOR6096472
MACFAYDEN, DONALD DUNCANEXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL5390198
PARDI SQUITIERI, JENNIFER ELLENEXECUTIVE DIRECTOR4922719
PROUD, EMILY PRESSMANCHIEF OPERATING OFFICER5815542
TEIPNER, LARISSA KYLEUS GENERAL COUNSEL

Disclosures

Regulatory Event45
Bond1

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

CANACCORD GENUITY LLC

CRD#: 1020Boston, MA 02109

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