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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anna? Claim Your ProfileAnna Hauck is a financial advisor with Stifel, Nicolaus & Company, Inc. in NEWPORT BEACH, CA. Anna has been in the industry since 2008 and has worked for several firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated and Lincoln Financial Advisors Corporation. Anna Hauck is registered with FINRA and has passed the Series 6, 7, 63, and 66 exams. Anna Hauck has worked for several firms and has specialized in Financial Planning, Portfolio Management for Individuals, Portfolio Management for Businesses, Portfolio Management for Pooled Investment Vehicles, and Pension Consulting.
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.
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.
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
CA
12/15/2020 - Present
Stifel, Nicolaus & Company, Inc. (NEWPORT BEACH CA)
CA
02/10/2012 - 12/15/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
CA
02/15/2011 - 04/27/2011
LINCOLN FINANCIAL ADVISORS CORPORATION (IRVINE CA)
CA
11/17/2010 - 02/15/2011
MONEY CONCEPTS CAPITAL CORP (ALISO VIEJO CA)
CA
08/29/2008 - 09/17/2010
PRUCO SECURITIES, LLC. (IRVINE CA)
CA
06/22/2007 - 02/21/2008
CITIGROUP GLOBAL MARKETS INC. (LAGUNA NIGUEL CA)
CA
10/26/2006 - 12/08/2006
METLIFE INVESTORS DISTRIBUTION COMPANY (IRVINE CA)
BOTH
Issued 03/30/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/14/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/2010
Series 7 - General Securities Representative Examination
BC
Issued 10/25/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX 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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