Anna L. Garlock
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 Laura Garlock, who also goes by Anna Ledford Dixon, Anna Laura Jayne, Anna Laura Ledford, was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 2003. Anna had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2013 - June 15, 2018
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
September 20, 2012 - February 1, 2013
SECURITIES AMERICA ADVISORS, INC.
August 1, 2012 - February 1, 2013
SECURITIES AMERICA, INC.
October 20, 2009 - October 6, 2010
D.A. DAVIDSON & CO.
October 19, 2009 - October 6, 2010
D.A. DAVIDSON & CO.
November 8, 2007 - June 25, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
December 2, 2003 - November 1, 2007
D.A. DAVIDSON & CO.
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 11
Date: 12/1/2003
Assistant Representative-Order Processing Qualification ExamCurrent Firm
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
CRD#: 332 / SEC#: , 8-5889
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Civil 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.
