Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ann? Claim Your ProfileAnn Hattenberger is an investment advisor representative, registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Ann has been in the securities industry for over 9 years. Ann is also a registered investment advisor representative in Texas. Ann has a Series 7, Series 63, and Series 65. Ann also has a SIE designation. Ann is registered with the state of Texas and Minnesota as an investment advisor. Ann has worked in the securities industry for over 9 years. Her previous employer was Wells Fargo Clearing Services, LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MN
01/11/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DULUTH MN)
MN
09/26/2014 - 11/27/2018
WELLS FARGO CLEARING SERVICES, LLC (CLOQUET MN)
IA
Issued 04/01/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/08/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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