Anne P. Ogan
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 Peterson Ogan, CFA, who also goes by Anne Peterson, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1976. Anne had worked at 7 firms and has passed the Series 65, Series 63, Series 16, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2020 - May 8, 2020
VIVALDI CAPITAL MANAGEMENT LP
January 23, 2003 - January 30, 2020
THE PROPER ANALYSIS CORPORATION
October 5, 1993 - January 26, 1995
FIFTH THIRD/MAXUS SECURITIES INC
April 23, 1992 - September 15, 1993
SEAPORT SECURITIES CORP.
July 30, 1988 - April 28, 1992
KEYBANC CAPITAL MARKETS INC.
November 2, 1979 - April 9, 1988
CREDIT SUISSE SECURITIES (USA) LLC
September 27, 1977 - November 29, 1979
SALOMON BROTHERS INC.
July 1, 1976 - September 22, 1977
KEYBANC CAPITAL MARKETS INC.
Primary Firm SEC Registration
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
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
Series 40
Date: 11/11/1978
Registered Principal ExaminationCurrent Firm
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
Contact information
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,413 |
| AUM (Assets Under Management) | $ 4,647,085,822 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2024 | ||
| 10/24/2023 | ||
| 07/26/2022 |
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.
