AG
Anne C. Gaiennie
CULLEN INVESTMENT GROUP, LTD.
Lafayette, LA 70503
Some features on this profile are disabled
CRD#: 5797869
AG
Professional summary
Anne Clark Gaiennie, CFP®, who also goes by Anne Gaiennie Bordes, Anne Gaiennie Simon, is a registered financial advisor currently at CULLEN INVESTMENT GROUP, LTD. located in Lafayette, Louisiana.
Anne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Anne has worked at 1 firm and has passed the Series 65, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anne Gaiennie Bordes | Anne Gaiennie Simon
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.
Sugar Dew LLC. This Rep is the Manager. It is investment related indirectly, in that the rep's Family LLC is a member of this RENTAL PROPERTY HOLDING COMPANY. Address:1404 S COLLEGE ROAD, LAFAYETTE, LA 70503. Manager since SEPTEMBER 2013, mostly CLERICAL AND ACCOUNTING WORK - DEPOSIT AND ISSUE CHECKS; spends 4 HOURS per MONTH, NONE DURING SECURITIES TRADING HOURS.
ANNE GAIENNIE, attorney. Not investment related. 1404 S.College Rd., Lafayette, LA 70503; since 1983 (multiple other employment positions before becoming registered rep); presently sole proprietorship and only occasional legal work < 10 HOURS per MONTH, NONE DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Anne Clark Gaiennie's 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®
Experience
Current
December 18, 2024 - Present
CULLEN INVESTMENT GROUP, LTD.
Office #1: 1404 South College Rd., Lafayette, LA 70503RIA
CRD#: 18266
Lafayette, LA
Past
July 14, 2010 - October 16, 2024
CULLEN INVESTMENT GROUP, LTD.
BD
CRD#: 18266
LAFAYETTE, LA
Past
June 1, 2010 - October 16, 2024
CULLEN INVESTMENT GROUP, LTD.
RIA
CRD#: 18266
LAFAYETTE, LA
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".
CI
CULLEN INVESTMENT GROUP, LTD.
CORNERSTONE INVESTMENT GROUP | DCB INVESTMENT SECURITIES | CULLEN SECURITIES | CULLEN INVESTMENT GROUP, LTD. | CULLEN INVESTMENT GROUP | CULLEN ASSET MANAGEMENT | CORNERSTONE INVESTMENT GROUP, LTD
CRD#: 18266 / SEC#: 801-61265, 8-36372
RIA
Registered Investment Advisory firm - SEC (7/9/2002 Approved)BD
Terminated by SEC on 12/14/2024
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
Louisiana(12/26/2024)
IAR
Texas(12/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CI
CULLEN INVESTMENT GROUP, LTD.
CORNERSTONE INVESTMENT GROUP | DCB INVESTMENT SECURITIES | CULLEN SECURITIES | CULLEN INVESTMENT GROUP, LTD. | CULLEN INVESTMENT GROUP | CULLEN ASSET MANAGEMENT | CORNERSTONE INVESTMENT GROUP, LTD
CRD#: 18266 / SEC#: 801-61265, 8-36372
RIA
Registered Investment Advisory firm - SEC (7/9/2002 Approved)BD
Terminated by SEC on 12/14/2024
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1404 S. College Rd., Lafayette, LA 70503
Mailing Address
P.o. Box 53669, Lafayette, LA 70505-3669
Phone number
(337) 237-8000
Established
Louisiana since 10/15/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,424 |
| AUM (Assets Under Management) | $ 795,470,355 |
Disclosures
| Regulatory Event | 1 |
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
CULLEN INVESTMENT GROUP, LTD.
CRD#: 18266Lafayette, LA 70503TRUST BUT VERIFY
Monitor Anne Gaiennie
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
