Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ann? Claim Your ProfileAnn McGowan is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Ann has been working in the financial services industry since 2000 and has been with Merrill Lynch since 2014. Ann has a Series 7, Series 6, and Series 66 license, and is a Registered Representative in the state of Connecticut. Ann specializes in working with individuals, high-net-worth individuals, corporations, pension plans, charitable organizations, and insurance companies.
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
CT
10/08/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HARTFORD CT)
CT
06/30/2011 - 09/02/2014
MBSC SECURITIES CORPORATION (WEST HARTFORD CT)
CT
02/24/2009 - 06/27/2011
WELLS FARGO ADVISORS, LLC (HARTFORD CT)
NY
01/07/2000 - 08/31/2001
UST FINANCIAL SERVICES CORP. (NEW YORK NY)
BOTH
Issued 05/28/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/15/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/23/2009
Series 7 - General Securities Representative Examination
BC
Issued 01/06/2000
Series 6 - Investment Company Products/Variable Contracts 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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