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AL

Anne S. Lundberg

CASTLE HILL CAPITAL PARTNERS
New York, NY 10017
Some features on this profile are disabled
CRD#: 5337177
AL

Professional summary

Anne Spellman Lundberg, who also goes by Anne S Lundberg, Anne Moira Spellman, is a registered financial professional currently at CASTLE HILL CAPITAL PARTNERS, INC. located in New York, New York.

Anne is registered as a RR (Registered Representative) and started their career in finance in 2007. Anne has worked at 8 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anne S Lundberg | Anne Moira Spellman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anne Spellman Lundberg's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 23, 2024 - Present

CASTLE HILL CAPITAL PARTNERS, INC.

Office #1: 216 East 45th Street, Suite 1301, New York, NY 10017
BD
CRD#: 44131
New York, NY
Past

September 12, 2022 - December 7, 2022

THORNBURG INVESTMENT MANAGEMENT INC

RIA
CRD#: 106357
Wilmette, IL
Past

December 3, 2020 - December 7, 2022

THORNBURG SECURITIES LLC

BD
CRD#: 14857
Wilmette, IL
Past

June 27, 2017 - October 30, 2020

GAM SERVICES, INC.

BD
CRD#: 25631
NEW YORK, NY
Past

March 18, 2013 - June 20, 2017

MAN INVESTMENTS INC.

BD
CRD#: 15770
NEW YORK, NY
Past

January 7, 2011 - February 19, 2013

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

January 7, 2011 - February 19, 2013

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

October 21, 2009 - January 5, 2010

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

December 3, 2008 - January 5, 2010

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

November 21, 2007 - November 4, 2008

WILLIAM BLAIR

RIA
CRD#: 1252
CHICAGO, IL
Past

June 21, 2007 - November 4, 2008

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(2/29/2024)
RR
New York
(3/11/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/23/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/29/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/7/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CH
CASTLE HILL CAPITAL PARTNERS, INC.
BOUCHEY & ASSOCIATES, INC. | CASTLE HILL CAPITAL PARTNERS, INC.

CRD#: 44131 / SEC#: , 8-50550

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
216 East 45th Street, Suite 1301, New York, NY 10017
Mailing Address
216 East 45th Street, Suite 1301, New York, NY 10017
Phone number
(212) 784-6104
Established
New York since 09/05/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAUNDERS, ANDREW O'BRIENPRESIDENT5690785
WEBSTER, GEOFFREY LEHMANPRINCIPAL OPERATING OFFICER, PRINCIPAL FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER2561071

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.

Company Information

CASTLE HILL CAPITAL PARTNERS, INC.

CRD#: 44131New York, NY 10017

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