Anita L. Baldwin
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.
Anita Lynn Baldwin, who also goes by Anita Lynn Mushell, Anita Mushell, Anita Lynn Russell, Anita Lynn Weiman, was a registered financial professional .
Anita is a previously registered financial professional and started their career in finance in 2004. Anita had worked at 3 firms and has passed the Series 66, 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
January 23, 2015 - July 6, 2022
HARTFORD FUNDS
March 31, 2014 - December 31, 2014
HARTFORD FUNDS
September 5, 2013 - July 6, 2022
HARTFORD FUNDS DISTRIBUTORS, LLC
January 24, 2005 - April 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2004 - April 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
HARTFORD FUNDS
CRD#: 147746 / SEC#: 801-77209
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
Current Firm
HARTFORD FUNDS
CRD#: 147746 / SEC#: 801-77209
Contact information
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 137,847,211,395 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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