Ann L. Werts
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 Louise Werts, who also goes by Ann Louise Gilmore, Ann Louise Howard, Ann Louise Vanderslice, Ann Vanderslice, Ann L Werts, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 2006. Ann had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2021 - July 26, 2024
AE WEALTH MANAGEMENT, LLC
April 6, 2021 - April 1, 2024
MADISON AVENUE SECURITIES, LLC
July 12, 2013 - April 13, 2021
CABOT LODGE SECURITIES LLC
October 27, 2011 - October 16, 2012
TITAN SECURITIES
May 6, 2011 - May 25, 2011
TITAN SECURITIES
January 4, 2010 - August 2, 2013
ALLIED BEACON PARTNERS, INC.
May 29, 2009 - April 20, 2021
CL WEALTH MANAGEMENT LLC
April 27, 2009 - December 23, 2009
COMMUNITY BANKERS SECURITIES, LLC
October 31, 2008 - April 2, 2009
SECURITIES AMERICA ADVISORS, INC.
October 31, 2008 - April 2, 2009
SECURITIES AMERICA, INC.
August 24, 2006 - October 30, 2008
CL WEALTH MANAGEMENT LLC
August 21, 2006 - October 30, 2008
COMMUNITY BANKERS SECURITIES, LLC
July 11, 2006 - August 28, 2006
LPL FINANCIAL LLC
March 6, 2006 - August 28, 2006
LPL FINANCIAL LLC
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
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.
