Anne C. Nemetz
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.
Anne C Nemetz, who also goes by Anne Atwood Conwell, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1978. Anne had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 52 and Series 54FN exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2011 - April 1, 2016
DEALERWEB LLC
March 10, 2004 - October 10, 2011
RAFFERTY CAPITAL MARKETS, LLC
July 27, 1982 - April 30, 2004
J.J. KENNY DRAKE, INC.
October 9, 1978 - June 30, 1982
DAHLKE & CO., INC.
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 54FN
Date: 3/19/1979
Municipal Securities Financial and Operations Principal ExaminationCurrent Firm
DEALERWEB LLC
CRD#: 19662 / SEC#: , 8-38103
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEWEB IDB MARKETS, INC. | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| COTTER, RICHARD JOSEPH JR | PRINCIPAL FINANCIAL OFFICER | 1611037 |
| GALINDO, JORGE ALBERTO JR | PRINCIPAL OPERATIONS OFFICER | 2501261 |
| HUESTIS, TIMOTHY DANIEL | EXECUTIVE REPRESENTATIVE | 4931620 |
| MCKEON, ALFRED PETER | PRESIDENT | 1666355 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| SULLIVAN, MICHAEL FRANCIS | CHIEF COMPLIANCE OFFICER | 3254037 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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