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https://brokercheck.finra.org/individual/summary/5663772
Submission: On April 03 via api from BE — Scanned from DE
Submission: On April 03 via api from BE — Scanned from DE
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Text Content
FEEDBACK BrokerCheck Help Line (800) 289-9999 Schedule a Call FINRA Home * Individual * Firm * By clicking the SEARCH button or otherwise using BrokerCheck, I agree to BrokerCheck Terms of Use at in Search in Search By clicking the SEARCH button or otherwise using BrokerCheck, I agree to BrokerCheck Terms of Use Please be aware that fraudsters may link to BrokerCheck from phishing and similar scam websites, trying to steal your personal information or your money. Make sure you know who you’re dealing with when investing, and contact FINRA with any concerns. For more information read our investor alert on imposters. < Back to Results Detailed ReportReport Share ANNA MARIE LEARY ANNA MARIE BYRD, ANNA MARIE KNIGHT, ANNA KNIGHT, ANNA MARIE OPLT CRD#: 5663772 PR Previously Registered Broker 0 Disclosures 11 Years of Experience 2 Firms 2 Exams Passed 0 State Licenses 0 Disclosures 11 Years of Experience 2 Firms 2 Exams Passed 0 State Licenses 0 Disclosures 11 Years of Experience 2 Firms 2 Exams Passed 0 State Licenses Registration History pan up hidden text zoom in hidden textzoom out hidden text pan down hidden text 20122013201420152016201720182019202020212022202320242025BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2016 - 2024 (7 years)BFIRST CLEARING, LLC (CRD# 17344)2012 - 2016 (4 years) Disclosure(s) Close View By: DateCategory Examination(s) Close -------------------------------------------------------------------------------- GENERAL INDUSTRY/PRODUCTS EXAM B SIE - Securities Industry Essentials Examination Oct 1, 2018 -------------------------------------------------------------------------------- B Series 99 - Operations Professional Examination Jul 27, 2012 -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- Additional information including this individual's professional designations is available in the Detailed Report. License(s) Close The broker is not currently registered with any state or SRO. Current Registration(s) Close Previous Registration(s) Close th hidden textth hidden textNameLocation B 11/11/2016 - 02/20/2024 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ST. LOUIS, MO B 07/30/2012 - 11/11/2016 FIRST CLEARING, LLC (CRD#:17344) GLEN ALLEN, VA WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ST. LOUIS, MO 11/11/2016 - 02/20/2024 -------------------------------------------------------------------------------- FIRST CLEARING, LLC (CRD#:17344) GLEN ALLEN, VA 07/30/2012 - 11/11/2016 -------------------------------------------------------------------------------- Additional Information The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here. State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information. Click here for more information about how to check on an investment professional. B Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers. IA Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services. It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further. PR Previously Registered A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more. Disclosures Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of. Use of the BrokerCheck site is subject to BrokerCheck Terms of Use -------------------------------------------------------------------------------- ©2024 FINRA, All Rights Reserved FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Privacy Legal Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.