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AM

Ann B. Megan

NBT CAPITAL MANAGEMENT
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 5532696
AM

Professional summary

Ann Beatrice Megan, CFP® is a registered financial advisor currently at NBT CAPITAL MANAGEMENT, INC. located in Milwaukee, Wisconsin.

Ann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Ann has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Ann Beatrice Megan'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®
CFP®

Certified Financial Planner

Experience

Current

April 11, 2022 - Present

NBT CAPITAL MANAGEMENT, INC.

Office #1: 220 E Buffalo Street Suite 301, Milwaukee, WI 53202
RIA
CRD#: 104932
Milwaukee, WI
Past

February 18, 2015 - April 29, 2022

CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 132307
MILWAUKEE, WI
Past

December 4, 2014 - October 12, 2017

CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT, INC.

BD
CRD#: 132307
MILWAUKEE, WI
Past

August 1, 2012 - November 17, 2014

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
MILWAUKEE, WI
Past

August 26, 2008 - August 1, 2012

M&I FINANCIAL ADVISORS, INC

BD
CRD#: 16517
MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NC
NBT CAPITAL MANAGEMENT, INC.
BAY RIDGE ADVISOR GROUP, INC. | UPSTATE MANAGEMENT ASSOCIATES INC | NBT CAPITAL MANAGEMENT, INC. | NBT CAPITAL MANAGEMENT | NAVIGATE RETIREMENT SOLUTIONS | COLUMBIA RIDGE CAPITAL MANAGEMENT, INC. | COLUMBIA RIDGE CAPITAL MANAGEMENT | CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT | BAYRIDGE ADVISORS | BAY RIDGE GROUP

CRD#: 104932 / SEC#: 801-30786

RIA
Registered Investment Advisory firm - (11/23/1987 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Wisconsin
(4/11/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/18/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/8/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/12/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/25/2008
Investment Company Products/Variable Contracts Representative Examination

Current Firm

NC
NBT CAPITAL MANAGEMENT, INC.
BAY RIDGE ADVISOR GROUP, INC. | UPSTATE MANAGEMENT ASSOCIATES INC | NBT CAPITAL MANAGEMENT, INC. | NBT CAPITAL MANAGEMENT | NAVIGATE RETIREMENT SOLUTIONS | COLUMBIA RIDGE CAPITAL MANAGEMENT, INC. | COLUMBIA RIDGE CAPITAL MANAGEMENT | CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT | BAYRIDGE ADVISORS | BAY RIDGE GROUP

CRD#: 104932 / SEC#: 801-30786

RIA
Registered Investment Advisory firm - (11/23/1987 Approved)
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Contact information

Main Address
331 Main Street Suite 1, Johnson City, NY 13790-3330
Mailing Address
Phone number
(607) 584-4141
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (20 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NBT CAPITAL MANAGEMENT, INC. (6/17/2025)

Regulatory assets under management

Total Number of Accounts1,384
AUM (Assets Under Management)$ 1,494,546,162

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/16/2024
Cover Page
Report
01/11/2024
Cover Page
Report
11/14/2023
Cover Page
Report

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

NBT CAPITAL MANAGEMENT, INC.

CRD#: 104932Milwaukee, WI 53202

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