Ann Marie Holland, CFP | Financial Professional

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 Marie Holland, CFP®, who also goes by Ann Marie Doherty, was a registered financial professional .

Ann is a previously registered financial professional and started their career in finance in 1979. Ann had worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Ann Marie Doherty

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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Past

October 19, 2017 - December 31, 2018

INDEPENDENT WEALTH NETWORK, INC.

RIA

CRD#: 286262

Phoenix, AZ

Past

October 2, 2017 - August 1, 2023

INTEGRITY ALLIANCE, LLC.

BD

CRD#: 139627

Phoenix, AZ

Past

November 15, 2013 - September 29, 2017

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

PHOENIX, AZ

Past

November 7, 2013 - September 29, 2017

BROKER DEALER FINANCIAL SERVICES CORP.

BD

CRD#: 8073

PHOENIX, AZ

Past

June 18, 2013 - November 7, 2013

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

SCOTTSDALE, AZ

Past

April 2, 2007 - December 31, 2011

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

SCOTTSDALE, AZ

Past

March 1, 2007 - November 7, 2013

CENTAURUS FINANCIAL, INC.

BD

CRD#: 30833

PHOENIX, AZ

Past

April 3, 2000 - March 1, 2007

CINCINNATI ANALYSTS, INC.

BD

CRD#: 5478

SCOTTSDALE, AZ

Past

May 21, 1979 - March 21, 2000

CITISTREET EQUITIES LLC

BD

CRD#: 7447

SOMERSET, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IW

INDEPENDENT WEALTH NETWORK, INC.

CRD#: 286262 / SEC#: 801-110559

RIA

Registered Investment Advisory firm - (6/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (8/26/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/12/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 9/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 1

Date: 5/12/1979

Registered Representative Examination

Current Firm

IW

INDEPENDENT WEALTH NETWORK, INC.

CRD#: 286262 / SEC#: 801-110559

RIA

Registered Investment Advisory firm - (6/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (8/26/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2350 Nw 128th St, Urbandale, IA 50323

Mailing Address

Phone number

(515) 461-5123

Established

Firm type

Fiscal year end

# of Employees

25

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

250106 ADV 2A (1/6/2025)

Regulatory assets under management

Total Number of Accounts	2,626
AUM (Assets Under Management)	$ 422,577,169

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.

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Advisor Monitoring

Firm Stability Insights

Ann M. Holland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEPENDENT WEALTH NETWORK, INC.

INTEGRITY ALLIANCE, LLC.

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

CINCINNATI ANALYSTS, INC.

CITISTREET EQUITIES LLC

Primary Firm SEC Registration

INDEPENDENT WEALTH NETWORK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/1994

Series 63

Date: 9/26/1990

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 5/12/1979

Current Firm

INDEPENDENT WEALTH NETWORK, INC.

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENT WEALTH NETWORK, INC.

TRUST BUT VERIFY

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