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AW

Ann M. Wilson

FIDELITY BROKERAGE SERVICES LLC
Westlake, TX 76262
Some features on this profile are disabled
CRD#: 6313668
AW

Professional summary

Ann M Wilson, who also goes by Ann Rozella Miller, Ann Miller, Ann Wilson, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas and NATIONAL FINANCIAL SERVICES LLC located in Manchester, New Hampshire.

Ann is registered as a RR (Registered Representative) and started their career in finance in 2014. Ann has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ann Rozella Miller | Ann Miller | Ann Wilson

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 Ann M Wilson'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

April 28, 2014 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: One Destiny Way, Westlake, TX 76262
BD
CRD#: 7784
Westlake, TX
Current

December 19, 2018 - Present

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
MANCHESTER, NH
Current

April 15, 2021 - Present

DIGITAL BROKERAGE SERVICES LLC

BD
CRD#: 308213
MANCHESTER, NH

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
Alabama
(5/7/2014)
RR
Alaska
(5/7/2014)
RR
Arizona
(5/7/2014)
RR
Arkansas
(5/7/2014)
RR
California
(5/7/2014)
RR
Colorado
(5/7/2014)
RR
Connecticut
(5/7/2014)
RR
Delaware
(5/7/2014)
RR
District of Columbia
(5/7/2014)
RR
Florida
(5/7/2014)
RR
Georgia
(5/7/2014)
RR
Hawaii
(5/7/2014)
RR
Idaho
(5/7/2014)
RR
Illinois
(5/7/2014)
RR
Indiana
(5/7/2014)
RR
Iowa
(5/7/2014)
RR
Kansas
(5/7/2014)
RR
Kentucky
(5/7/2014)
RR
Louisiana
(5/7/2014)
RR
Maine
(5/7/2014)
RR
Maryland
(5/7/2014)
RR
Massachusetts
(5/7/2014)
RR
Michigan
(5/7/2014)
RR
Minnesota
(5/7/2014)
RR
Mississippi
(5/7/2014)
RR
Missouri
(5/7/2014)
RR
Montana
(5/7/2014)
RR
Nebraska
(5/7/2014)
RR
Nevada
(5/7/2014)
RR
New Hampshire
(5/7/2014)
RR
New Jersey
(5/7/2014)
RR
New Mexico
(5/7/2014)
RR
New York
(5/7/2014)
RR
North Carolina
(5/8/2014)
RR
North Dakota
(5/7/2014)
RR
Ohio
(5/8/2014)
RR
Oklahoma
(5/7/2014)
RR
Oregon
(5/7/2014)
RR
Pennsylvania
(5/7/2014)
RR
Puerto Rico
(5/7/2014)
RR
Rhode Island
(5/7/2014)
RR
South Carolina
(5/7/2014)
RR
South Dakota
(5/7/2014)
RR
Tennessee
(5/7/2014)
RR
Texas
(5/5/2014)
RR
Utah
(5/7/2014)
RR
Vermont
(5/7/2014)
RR
Virgin Islands
(5/7/2014)
RR
Virginia
(5/7/2014)
RR
Washington
(5/7/2014)
RR
West Virginia
(5/7/2014)
RR
Wisconsin
(5/7/2014)
RR
Wyoming
(5/7/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/26/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/9/2015
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/4/2015
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

DB
DIGITAL BROKERAGE SERVICES LLC
DIGITAL BROKERAGE SERVICES LLC

CRD#: 308213 / SEC#: , 8-70512

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

Main Address
499 Washington Blvd, Jersey City, NJ 07310
Mailing Address
Two Destiny Way Mail Zone Wg3d, Westlake, TX 76262
Phone number
(833) 327-3444
Established
Delaware since 02/27/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER
CULLARO, GIUSEPPEPRESIDENT, CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER4738727
MCGINTY, JOHN JR.CHIEF COMPLIANCE OFFICER5560420
RHODES, NOAH BUTLERPRINCIPAL FINANCIAL OFFICER6546392
WEAVER, BRYAN ROBERTCHIEF LEGAL OFFICER2933941

Disclosures

Regulatory Event1

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

DIGITAL BROKERAGE SERVICES LLC

CRD#: 308213Westlake, TX 76262

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