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Ana Maria Gansmann

CRD# 5544347·Registered 2008 - 2014
Previously Registered: Being a previously registered professional could mean that Ana Maria 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.

Professional Summary

Ana Maria Gansmann was a registered financial advisor. Ana Maria was a previously registered financial professional and started their career in finance 2008 - 2014. Ana Maria had worked at 1 firm and has passed the Series 63, Series 7, Series 24 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

18 years in the financial services industry

Current & Past Employments

OPTIONSHOUSE1, LLC·CRD# 135625
BD
Chicago, IL
July 1, 2008 - May 9, 2014

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Current Firm

OL
OPTIONSHOUSE1, LLC

EZOPTIONS | OPTIONSHOUSE1, LLC | OPTIONSHOUSE, LLC | OPTIONSHOUSE, INCORPORATED | OPTIONSHOUSE, INC.

CRD#: 135625 / SEC#: 8-66936
BD
Terminated by SEC on 03/27/2015

Contact Information

Established

Delaware since 08/01/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
TRADEMONSTER GROUP, INC.SOLE SHAREHOLDER—
HERMANN, JAMES CLIFFORDCHIEF COMPLIANCE OFFICER1697681
REYES, CHRISTOPHER VALENTINFINANCIAL AND OPERATIONS PRINCIPAL2105804

Disclosures

Regulatory Event

1

Arbitration

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2008About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 2008About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 2010About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Apr 2010About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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