Ann M. Rhoads
Professional summary
Ann Margaret Rhoads, who also goes by Ann Nargaret Rhoads, is a registered financial professional currently at ACQUEST SECURITIES LLC located in Houston, Texas.
Ann is registered as a RR (Registered Representative) and started their career in finance in 2001. Ann has worked at 6 firms and has passed the Series 63, Series 7TO, Series 79TO, 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
November 13, 2019 - Present
ACQUEST SECURITIES LLC
July 25, 2013 - November 7, 2017
BNP PARIBAS SECURITIES CORP.
February 9, 2012 - January 17, 2013
NATIXIS SECURITIES AMERICAS LLC
April 3, 2009 - February 1, 2011
NATWEST MARKETS SECURITIES INC.
April 30, 2001 - April 3, 2009
ABN AMRO INCORPORATED
January 19, 2001 - April 30, 2001
ABN AMRO SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/13/2019)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ACQUEST SECURITIES LLC
CRD#: 29047 / SEC#: , 8-44071
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STOUGHTON, SHELDON RATCLIFFE | OWNER/MEMBER/PRINCIPAL/CCO/POO/PFO | 1946520 |
Red Flags
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