Ann M. Caner
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 Mary Caner, AIF®, CFP®, who also goes by Ann Mary Derry, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 2002. Ann had worked at 9 firms and has passed the Series 63, Series 7TO, Series 7, Series 6 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
April 2, 2023 - October 15, 2024
EMPOWER ADVISORY GROUP, LLC
February 21, 2023 - October 15, 2024
EMPOWER FINANCIAL SERVICES, INC.
October 25, 2021 - November 30, 2022
USI SECURITIES, INC.
October 1, 2021 - November 30, 2022
USI ADVISORS
July 28, 2016 - October 30, 2020
BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.
April 15, 2014 - May 5, 2016
FIDELITY BROKERAGE SERVICES LLC
September 3, 2008 - March 11, 2014
CHARLES SCHWAB & CO., INC.
August 17, 2005 - July 25, 2008
COMERICA SECURITIES
July 4, 2002 - September 1, 2005
TRUIST INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
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 7TO
Date: 2/21/2023
General Securities Representative ExaminationCurrent Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
