urlscan.io logo urlscan.io
SecurityTrails logo

brokercheck.finra.org Open in urlscan Pro
2606:4700:4400::6812:2589  Public Scan

Back to summary
URL: https://brokercheck.finra.org/individual/summary/5663772
Submission: On April 03 via api from BE — Scanned from DE

Form analysis 2 forms found in the DOM

<form _ngcontent-ng-c3556774123="" novalidate="" class="inline-block w-full form-transition ng-untouched ng-pristine ng-invalid">
  <div _ngcontent-ng-c3556774123="" class="flex sm:flex-col justify-between items-stretch gap-x-2">
    <div _ngcontent-ng-c3556774123="" class="flex-1 w-full min-w-0 h-10 sm:flex-none sm:mb-4"><input _ngcontent-ng-c3556774123="" aria-label="individual-name" formcontrolname="individualNameCrd"
        class="w-full min-w-0 h-10 sm:flex-none sm:mb-4 ng-untouched ng-pristine ng-valid" placeholder="Individual Name/CRD#" tabindex="0"><!----></div>
    <div _ngcontent-ng-c3556774123="" class="mt-2 font-bold text-gray-0 sm:hidden">at</div><input _ngcontent-ng-c3556774123="" aria-label="firm-name" formcontrolname="firmNameCrd"
      class="flex-1 w-full min-w-0 h-10 sm:flex-none sm:mb-4 ng-untouched ng-pristine ng-valid" placeholder="Firm Name or CRD/SEC# (optional)" tabindex="0"><span _ngcontent-ng-c3556774123="" class="mt-2 font-bold text-gray-0 sm:hidden">in</span>
    <div _ngcontent-ng-c3556774123="" class="flex-1 w-full min-w-0 h-10 sm:flex-none sm:mb-4"><investor-tools-type-ahead _ngcontent-ng-c3556774123="" formcontrolname="location" _nghost-ng-c2634965300="" class="ng-untouched ng-pristine ng-valid">
        <div _ngcontent-ng-c2634965300="" class="inline-block relative w-full">
          <div _ngcontent-ng-c2634965300="" class="flex flex-1 justify-between items-center bg-white"><input _ngcontent-ng-c2634965300="" aria-label="zip" class="border-0 w-full h-10 ng-untouched ng-pristine ng-valid"
              placeholder="City, State or ZIP (optional)" tabindex="0"><!----></div><investor-tools-menu _ngcontent-ng-c2634965300="" class="absolute z-10 w-full hidden" _nghost-ng-c3014637210="">
            <div _ngcontent-ng-c3014637210="" class="bg-white overflow-y-auto shadow z-10 w-full" style="max-height: 160px;">
              <div _ngcontent-ng-c3014637210=""><!----></div>
            </div>
          </investor-tools-menu>
        </div>
      </investor-tools-type-ahead><!----></div><button _ngcontent-ng-c3556774123="" type="submit" aria-label="IndividualSearch" class="btn btn-lg btn-accent sm:px-2 md:px-2 sm:mt-4" tabindex="0"><fa-icon _ngcontent-ng-c3556774123=""
        class="ng-fa-icon sm:hidden lg:hidden text-2xl"><svg role="img" aria-hidden="true" focusable="false" data-prefix="fas" data-icon="search" class="svg-inline--fa fa-search fa-w-16" xmlns="http://www.w3.org/2000/svg" viewBox="0 0 512 512">
          <path fill="currentColor"
            d="M505 442.7L405.3 343c-4.5-4.5-10.6-7-17-7H372c27.6-35.3 44-79.7 44-128C416 93.1 322.9 0 208 0S0 93.1 0 208s93.1 208 208 208c48.3 0 92.7-16.4 128-44v16.3c0 6.4 2.5 12.5 7 17l99.7 99.7c9.4 9.4 24.6 9.4 33.9 0l28.3-28.3c9.4-9.4 9.4-24.6.1-34zM208 336c-70.7 0-128-57.2-128-128 0-70.7 57.2-128 128-128 70.7 0 128 57.2 128 128 0 70.7-57.2 128-128 128z">
          </path>
        </svg></fa-icon><span _ngcontent-ng-c3556774123="" class="hidden lg:inline sm:block">Search</span></button>
  </div>
</form>

<form _ngcontent-ng-c3556774123="" novalidate="" class="inline-block w-full form-transition form-hidden-right ng-untouched ng-pristine ng-invalid">
  <div _ngcontent-ng-c3556774123="" class="flex sm:flex-col justify-between items-stretch gap-x-2">
    <div _ngcontent-ng-c3556774123="" class="flex-1 w-full min-w-0 h-10 sm:flex-none sm:mb-4"><input _ngcontent-ng-c3556774123="" aria-label="firm-name" formcontrolname="firmNameCrd"
        class="w-full min-w-0 h-10 sm:flex-none sm:mb-4 ng-untouched ng-pristine ng-valid" placeholder="Firm Name or CRD/SEC# (optional)"><!----></div><span _ngcontent-ng-c3556774123="" class="mt-2 font-bold text-gray-0 sm:hidden">in</span>
    <div _ngcontent-ng-c3556774123="" class="flex-1 w-full min-w-0 h-10 sm:flex-none sm:mb-4"><investor-tools-type-ahead _ngcontent-ng-c3556774123="" formcontrolname="location" _nghost-ng-c2634965300="" class="ng-untouched ng-pristine ng-valid">
        <div _ngcontent-ng-c2634965300="" class="inline-block relative w-full">
          <div _ngcontent-ng-c2634965300="" class="flex flex-1 justify-between items-center bg-white"><input _ngcontent-ng-c2634965300="" aria-label="zip" class="border-0 w-full h-10 ng-untouched ng-pristine ng-valid"
              placeholder="City, State or ZIP (optional)" tabindex="0"><!----></div><investor-tools-menu _ngcontent-ng-c2634965300="" class="absolute z-10 w-full hidden" _nghost-ng-c3014637210="">
            <div _ngcontent-ng-c3014637210="" class="bg-white overflow-y-auto shadow z-10 w-full" style="max-height: 160px;">
              <div _ngcontent-ng-c3014637210=""><!----></div>
            </div>
          </investor-tools-menu>
        </div>
      </investor-tools-type-ahead><!----></div><button _ngcontent-ng-c3556774123="" type="submit" aria-label="FirmSearch" class="btn btn-lg btn-accent sm:px-2 md:px-2 sm:mt-4"><fa-icon _ngcontent-ng-c3556774123=""
        class="ng-fa-icon sm:hidden lg:hidden text-2xl"><svg role="img" aria-hidden="true" focusable="false" data-prefix="fas" data-icon="search" class="svg-inline--fa fa-search fa-w-16" xmlns="http://www.w3.org/2000/svg" viewBox="0 0 512 512">
          <path fill="currentColor"
            d="M505 442.7L405.3 343c-4.5-4.5-10.6-7-17-7H372c27.6-35.3 44-79.7 44-128C416 93.1 322.9 0 208 0S0 93.1 0 208s93.1 208 208 208c48.3 0 92.7-16.4 128-44v16.3c0 6.4 2.5 12.5 7 17l99.7 99.7c9.4 9.4 24.6 9.4 33.9 0l28.3-28.3c9.4-9.4 9.4-24.6.1-34zM208 336c-70.7 0-128-57.2-128-128 0-70.7 57.2-128 128-128 70.7 0 128 57.2 128 128 0 70.7-57.2 128-128 128z">
          </path>
        </svg></fa-icon><span _ngcontent-ng-c3556774123="" class="hidden lg:inline sm:block">Search</span></button>
  </div>
</form>

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.