Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anna? Claim Your ProfileAnna Shtein is a financial advisor with over 20 years of experience in the industry. Anna currently works with Morgan Stanley and has held previous roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated, MWAM Distributors, LLC, Legg Mason Wood Walker, Incorporated, LM Financial Partners, Inc. and Signator Investors, Inc. Anna is registered in California as an investment advisor and broker. Anna is a Series 63, 65, 7 and 24 licensed professional. Anna focuses on providing financial advice to individuals and businesses including asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
05/21/2019 - Present
Morgan Stanley (Los Angeles CA)
CA
07/20/2010 - 02/04/2019
MORGAN STANLEY (LOS ANGELES CA)
CA
03/12/2007 - 07/01/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
12/07/2005 - 03/13/2007
MWAM DISTRIBUTORS, LLC (LOS ANGELES CA)
MD
09/30/2003 - 11/09/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
LA
06/20/2002 - 09/30/2003
LM FINANCIAL PARTNERS, INC. (NEW ORLEANS LA)
MA
09/27/2000 - 10/26/2001
SIGNATOR INVESTORS, INC. (BOSTON MA)
IA
Issued 05/01/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/04/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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