Ann M. Grady
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.
Ann M Grady, who also goes by Ann Marie Grady Ms, Ann Marie Grady, Ann Marie Mcgloin Miss, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 2002. Ann had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 34, Series 3, Series 7, Series 4, Series 24 and Series 14A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2020 - September 30, 2021
DOUGH LLC
March 10, 2016 - July 12, 2018
TASTYTRADE, INC.
August 20, 2012 - September 16, 2014
X-CHANGE FINANCIAL ACCESS, LLC
July 15, 2010 - August 21, 2012
TD AMERITRADE, INC.
July 16, 2008 - October 1, 2010
BELLEVUE CHICAGO, LLC
April 2, 2004 - March 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 2003 - April 2, 2004
ABN AMRO INCORPORATED
April 1, 2002 - April 10, 2003
WOLVERINE CAPITAL MARKETS 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
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 14A
Date: 4/24/2002
Compliance Official Specialist ExamCurrent Firm
DOUGH LLC
CRD#: 148243 / SEC#: , 8-67992
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
