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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ann? Claim Your ProfileAnn Patrice McCarthy hackney is an investment advisor representative with Wells Fargo Clearing Services, LLC. Ann has over 20 years of experience in the financial services industry. Ann is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Ann has passed the Series 3, 7, 9, 10, 63, and 66 exams. Ann has worked at Wells Fargo Advisors, LLC and First Albany Corporation. Ann holds a current registration with the state of Connecticut, New Hampshire, and Rhode Island. Ann also has a strong track record of success in helping her clients achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
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2
MA
10/22/2018 - Present
Wells Fargo Clearing Services, LLC (NORWELL MA)
MA
08/05/2000 - 01/04/2016
WELLS FARGO ADVISORS, LLC (BOSTON MA)
NY
10/01/1999 - 08/05/2000
FIRST ALBANY CORPORATION (NEW YORK NY)
MN
05/27/1999 - 08/30/1999
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
05/27/1999 - 08/30/1999
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 11/20/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/07/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/23/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/25/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2018
Series 3 - National Commodity Futures Examination
BC
Issued 05/26/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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