Anna M. Rainbolt
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.
Anna Mae Rainbolt, who also goes by Anna Mae Nichols, was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 1974. Anna had worked at 2 firms and has passed the Series 63, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 1993 - October 9, 1995
HESS INVESTMENT CO.
May 28, 1992 - September 18, 1992
LEHMAN BROTHERS INC.
December 26, 1974 - April 28, 1992
HESS INVESTMENT CO.
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
F04
Date: 5/24/1975
Financial Principal ExaminationSeries 00
Date: 12/14/1974
General Securities Principal ExaminationCurrent Firm
HESS INVESTMENT CO.
CRD#: 407 / SEC#: , 8-21506
Contact information
Documents
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.
