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LA

Lee H. Anke

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CRD#: 839642
LA

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.

Lee Holloway Anke was a registered financial professional .

Lee is a previously registered financial professional and started their career in finance in 1977. Lee had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 28, 2009 - December 11, 2014

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
VISTA, CA
Past

September 3, 2003 - June 6, 2017

PRUDENT INVESTORS

RIA
CRD#: 127284
VISTA, CA
Past

April 9, 2003 - August 31, 2009

GUGGENHEIM DISTRIBUTORS, LLC

BD
CRD#: 40805
VISTA, CA
Past

July 8, 1997 - April 8, 2003

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
VISTA, CA
Past

May 1, 1989 - April 8, 2003

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

March 4, 1986 - May 8, 1989

CROWELL, WEEDON & CO.

BD
CRD#: 193
LOS ANGELES, CA
Past

June 20, 1982 - July 18, 1990

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

May 21, 1982 - March 11, 1986

GREAT AMERICAN SECURITIES INC.

BD
CRD#: 7504
Past

February 24, 1978 - May 26, 1982

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

July 1, 1977 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

BD
CRD#: 6466

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/5/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/29/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/11/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/16/1989
General Securities Principal Examination

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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.

Company Information

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

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