Anne P. Averill
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 Penniall Averill, who also goes by Anne P Averill, Anne E Penniall, Anne Elizabeth Penniall, Anne Penniall, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 2017. Anne had worked at 3 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2019 - February 16, 2022
AWM CAPITAL, LLC
April 9, 2019 - March 23, 2022
RETIREMENT WELLNESS GROUP
August 2, 2018 - December 13, 2018
BRIDGE ADVISORY LLC
May 26, 2017 - December 13, 2018
AWM CAPITAL, LLC
Primary Firm SEC Registration
AWM CAPITAL, LLC
CRD#: 287980 / SEC#: 801-114373
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
AWM CAPITAL, LLC
CRD#: 287980 / SEC#: 801-114373
Contact information
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,586 |
| AUM (Assets Under Management) | $ 1,152,024,220 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/16/2024 | ||
| 04/15/2024 | ||
| 01/24/2023 |
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.
