Ann J. Shubert
EQUITA FINANCIAL NETWORK
Albuquerque, NM 87109
Some features on this profile are disabled
CRD#: 6413618
Professional summary
Ann Judith Shubert, CFP®, who also goes by Ann Rosenthal, Ann Judith Rosenthal, is a registered financial advisor currently at EQUITA FINANCIAL NETWORK, INC. located in Albuquerque, New Mexico.
Ann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Ann has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ann Rosenthal | Ann Judith Rosenthal
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.
Equila Financial, LLC, Albuquerque, NM; 05/2024; Investment Related; Owner and Managing Member; accounts for 90% of her time, all during securities trading hours; Provide investment advice and/or financial planning.
CRS (Client Relationship Summary) - RIA
Click below to view Ann Judith Shubert'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®
CFP®
Start date: 2020
Experience
Current
June 18, 2024 - Present
EQUITA FINANCIAL NETWORK, INC.
Office #1: 7770 Jefferson St Ne Ste 430, Albuquerque, NM 87109RIA
CRD#: 277031
Albuquerque, NM
Past
May 30, 2017 - July 23, 2024
INTENTIONAL FINANCE, LLC
RIA
CRD#: 288181
ALBUQUERQUE, NM
Past
February 2, 2015 - May 31, 2017
WADDELL & REED
RIA
CRD#: 866
ALBUQUERQUE, NM
Past
December 20, 2014 - May 31, 2017
WADDELL & REED
BD
CRD#: 866
ALBUQUERQUE, NM
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".
EF
EQUITA FINANCIAL NETWORK, INC.
ABEONA WEALTH, LLC | YOUR STORY FINANCIAL, LLC | WHITE ALLIUM WEALTH ADVISORS LLC | WEALTHCHOICE, LLC | VISIBLE WEALTH PLANNING, LLC | TRUMAN WEALTH ADVISORS | NEXT STEP FINANCIAL, LLC | MOUNTAIN WEALTH PLANNING, LLC | MODERN FAMILY FINANCE, LLC | METHOD FINANCIAL PLANNING, LLC | METHOD FINANCIAL PLANNING, INC. | FEATHERED PADDLE WEALTH PARTNERS | EQUITA FINANCIAL NETWORK, INC. | EQUILA FINANCIAL, LLC | ASTRAEA WEALTH MANAGEMENT, LLC | AEGLEWEALTH, LLC
CRD#: 277031 / SEC#: 801-120628
RIA
Registered Investment Advisory firm - (3/26/2021 Approved)Alabama
Registered Investment Advisory firm - (3/26/2021 Terminated)California
Registered Investment Advisory firm - (4/25/2021 Terminated)Georgia
Registered Investment Advisory firm - (4/21/2021 Terminated)Minnesota
Registered Investment Advisory firm - (4/27/2021 Terminated)Missouri
Registered Investment Advisory firm - (3/26/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/7/2021 Terminated)Tennessee
Registered Investment Advisory firm - (4/19/2021 Terminated)Texas
Registered Investment Advisory firm - (3/26/2021 Terminated)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
New Mexico(6/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
EF
EQUITA FINANCIAL NETWORK, INC.
ABEONA WEALTH, LLC | YOUR STORY FINANCIAL, LLC | WHITE ALLIUM WEALTH ADVISORS LLC | WEALTHCHOICE, LLC | VISIBLE WEALTH PLANNING, LLC | TRUMAN WEALTH ADVISORS | NEXT STEP FINANCIAL, LLC | MOUNTAIN WEALTH PLANNING, LLC | MODERN FAMILY FINANCE, LLC | METHOD FINANCIAL PLANNING, LLC | METHOD FINANCIAL PLANNING, INC. | FEATHERED PADDLE WEALTH PARTNERS | EQUITA FINANCIAL NETWORK, INC. | EQUILA FINANCIAL, LLC | ASTRAEA WEALTH MANAGEMENT, LLC | AEGLEWEALTH, LLC
CRD#: 277031 / SEC#: 801-120628
RIA
Registered Investment Advisory firm - (3/26/2021 Approved)Alabama
Registered Investment Advisory firm - (3/26/2021 Terminated)California
Registered Investment Advisory firm - (4/25/2021 Terminated)Georgia
Registered Investment Advisory firm - (4/21/2021 Terminated)Minnesota
Registered Investment Advisory firm - (4/27/2021 Terminated)Missouri
Registered Investment Advisory firm - (3/26/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/7/2021 Terminated)Tennessee
Registered Investment Advisory firm - (4/19/2021 Terminated)Texas
Registered Investment Advisory firm - (3/26/2021 Terminated)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
500 Office Center Drive Suite 400, Fort Washington, PA 19034
Mailing Address
500 Office Center Drive Suite 400, Fort Washington, PA 19034
Phone number
(800) 604-0176
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,476 |
| AUM (Assets Under Management) | $ 412,310,129 |
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
EQUITA FINANCIAL NETWORK, INC.
CRD#: 277031Albuquerque, NM 87109TRUST BUT VERIFY
Monitor Ann Shubert
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
