Anna E. Saban
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 Eva Saban was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 2004. Anna had worked at 2 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2006 - December 31, 2021
NICOL ADVISORS CORPORATION
November 16, 2004 - December 31, 2021
NICOL INVESTORS CORPORATION
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NICOL ADVISORS CORPORATION
CRD#: 137206 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 89 |
| AUM (Assets Under Management) | $ 81,236,486 |
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.
