AS
Annette K. Schumann
FEDERATED SECURITIES
Pittsburgh, PA 15222-3779
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CRD#: 7268331
AS
Professional summary
Annette Klimas Schumann, who also goes by Annette Mary Klimas, is a registered financial professional currently at FEDERATED SECURITIES CORP. located in Pittsburgh, Pennsylvania.
Annette is registered as a RR (Registered Representative) and started their career in finance in 2021. Annette has worked at 1 firm and has passed the Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Annette Mary Klimas
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.
CRS (Client Relationship Summary) - BD
Click below to view Annette Klimas Schumann'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®
NoneExperience
Current
January 4, 2021 - Present
FEDERATED SECURITIES CORP.
Office #1: 1001 Liberty Avenue, Pittsburgh, PA 15222-3779RIA
BD
CRD#: 5009
Pittsburgh, PA
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".
FS
FEDERATED SECURITIES CORP.
FEDERATED SECURITIES CORP.
CRD#: 5009 / SEC#: 801-70438, 8-15561
RIA
Registered Investment Advisory firm - SEC (8/17/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
RR
Series 7TO
Date: 1/4/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FS
FEDERATED SECURITIES CORP.
FEDERATED SECURITIES CORP.
CRD#: 5009 / SEC#: 801-70438, 8-15561
RIA
Registered Investment Advisory firm - SEC (8/17/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1001 Liberty Avenue, Pittsburgh, PA 15222-3779
Mailing Address
1001 Liberty Avenue, Pittsburgh, PA 15222-3779
Phone number
(412) 288-1900
Established
Pennsylvania since 11/14/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
300
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FII HOLDINGS, INC. | OWNER | |
| ARONSOHN, JEFF DAVIS JR | COMPLIANCE OFFICER | 5414359 |
| BURKE, BRYAN MARKHAM | EXECUTIVE VICE PRESIDENT | 2659959 |
| DONAHUE, THOMAS ROBERT | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2766434 |
| EISENBRANDT, PETER WILLIAM | EXECUTIVE VICE PRESIDENT | 1676319 |
| FAVERO, AUTUMN LYNN | ASSISTANT TREASURER, FINANCIAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 7844158 |
| GERMAIN, PETER JOSEPH | DIRECTOR/VICE PRESIDENT | 4152014 |
| MOORE, KARY ANNE | SECRETARY | 5989808 |
| NOVAK, RICHARD ANTHONY | TREASURER | 2901271 |
| RONAYNE, BRIAN SEAN | EXECUTIVE VICE PRESIDENT | 2158279 |
| SENCHAK, FRANK CARL | DIRECTOR | 6683477 |
| UHLMAN, PAUL ADAM | DIRECTOR AND PRESIDENT | 2043674 |
| VAN METER, STEPHEN PAUL | CHIEF COMPLIANCE OFFICER | 6020413 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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