Ann K. Ultsch
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.
Ann Katherine Ultsch, who also goes by Ann Ultsch, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 2022. Ann had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2023 - January 24, 2025
ROSSBY FINANCIAL, LLC
September 21, 2022 - March 10, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Primary Firm SEC Registration
ROSSBY FINANCIAL, LLC
CRD#: 324631 / SEC#: 801-127370
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
ROSSBY FINANCIAL, LLC
CRD#: 324631 / SEC#: 801-127370
Contact information
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 804 |
| AUM (Assets Under Management) | $ 358,627,117 |
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.
