Anna R. Tsoy
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.
Anna Revomirovna Tsoy, who also goes by Anna Revomirovna Ashley, Anna Ashley, Anna Tsoy, was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 2010. Anna had worked at 4 firms and has passed the Series 66, Series 63, 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
August 19, 2014 - January 17, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 14, 2014 - January 17, 2017
TD AMERITRADE, INC.
August 13, 2014 - January 17, 2017
TD AMERITRADE, INC.
November 1, 2012 - August 4, 2014
STRATEGIC ADVISERS LLC
June 24, 2010 - July 30, 2014
FIDELITY BROKERAGE SERVICES LLC
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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
