Anne G. Ross
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.
Anne Gabrielle Ross, who also goes by Anne G Mylon, Anne Mylon, Anne G Ross, Anne Gabriel Ross, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1981. Anne had worked at 7 firms and has passed the Series 63, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 1993 - January 28, 2014
ROOSEVELT & CROSS, INCORPORATED
April 8, 1989 - October 22, 1992
J.J. KENNY DRAKE, INC.
June 12, 1985 - January 4, 1988
MATTHEWS & WRIGHT, INC.
June 12, 1985 - January 4, 1988
MATTHEWS & WRIGHT CAPITAL, INC.
February 22, 1983 - May 3, 1985
CIBC WORLD MARKETS CORP.
September 16, 1982 - March 2, 1983
SBC WARBURG DILLON READ INC.
June 23, 1981 - June 4, 1982
GOLDMAN SACHS & CO. 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
ROOSEVELT & CROSS, INCORPORATED
CRD#: 6964 / SEC#: , 8-19363
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FARAWELL, JOHN MADDEN | DIRECTOR | 1018554 |
| FINN, FRANCIS GREGORY | CHAIRMAN OF THE BOARD | 1019346 |
| BRENNAN, ELAINE MARIE | DIRECTOR | 720043 |
| HALLER, JOSEPH CROSS | DIRECTOR | 4826263 |
| MONAHAN, SCOTT THOMAS | DIRECTOR | 4882785 |
| STAVITSKI, CHARLES CLEMENT | CEO | 5435642 |
| WAGNER, DAVID CHARLES | DIRECTOR | 4249755 |
| WELSH, WILLIAM WALTER | 5% OWNER | 1602929 |
| CAWLEY, KATHLEEN | CCO | 1129804 |
| MOORE, DAVID WILLIAM | COO/SENIOR VICE PRESIDENT | 2209528 |
| SAKOL, DANIEL SCOTT | FINOP | 2813237 |
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
