AU
Anne Q. Uno
CETERA WEALTH SERVICES
MCLEAN, VA
Some features on this profile are disabled
CRD#: 829852
AU
Professional summary
Anne Quan Uno, CFP®, who also goes by Annie Quan, Anne Uno, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Mclean, Virginia.
Anne is registered as a RR (Registered Representative) and started their career in finance in 1976. Anne has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Annie Quan | Anne Uno
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.
1. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 1999, <1HR/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, ANNUITIES, AND LONG-TERM CARE; 2. FINANCIAL ASSOCIATES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, OUTSIDE RIA - ADVISORY BUSINESS, START 1983, 40HRS/WK (32.5 TRADING HOURS), OWNER/ADVISORY REPRESENTATIVE; 3. MEMBER OF INVESTMENT CLUB FIDELITY, 0HRS/WK SINCE 2009; 4. NAME OF OTHER BUSINESS: FINANCIAL ASSOCIATES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX ADVICE AND PREPARATION; START DATE: 4/2019; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 12; APX NUMBER OF HOURS DURING TRADING HOURS: 12; BRIEF DESCRIPTION OF DUTIES: PREPARE A FEW SELECTED RETURNS;
CRS (Client Relationship Summary) - BD
Click below to view Anne Quan Uno'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®
CFP®
Start date: 1983
Experience
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MCLEAN, VA
Past
September 1, 2009 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
ARLINGTON, VA
Past
June 17, 2003 - September 17, 2024
FINANCIAL ASSOCIATES
RIA
CRD#: 115567
Mc Lean, VA
Past
March 31, 1989 - September 1, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
ARLINGTON, VA
Past
July 12, 1983 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
BD
CRD#: 7291
Past
March 31, 1981 - July 12, 1983
CARDELL & ASSOCIATES, INCORPORATED
BD
CRD#: 7700
Past
October 1, 1979 - May 6, 1981
INDEPENDENT FINANCIAL PLANNERS CORPORATION
BD
CRD#: 653
Past
November 24, 1976 - November 20, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
November 24, 1976 - November 20, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
November 24, 1976 - November 20, 1983
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/3/2013)
RR
California(9/3/2013)
RR
Delaware(9/3/2013)
RR
District of Columbia(9/3/2013)
RR
Florida(9/3/2013)
RR
Illinois(1/4/2021)
RR
Maryland(9/3/2013)
RR
Nebraska(4/26/2022)
RR
New Hampshire(9/3/2013)
RR
New Jersey(9/3/2013)
RR
New Mexico(9/3/2013)
RR
New York(9/3/2013)
RR
North Carolina(9/3/2013)
RR
Ohio(9/3/2013)
RR
Pennsylvania(9/3/2013)
RR
Texas(11/4/2015)
RR
Virginia(9/3/2013)
RR
Washington(9/3/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/15/1976
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
