Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anne? Claim Your ProfileAnne Routon is a financial advisor at Raymond James & Associates, Inc. Anne has been in the industry since 1993 and holds a Series 3, 7, 63 and 66 license. Anne has worked for a number of firms including Morgan Keegan & Company, Inc., RBC Dain Rauscher Inc., UBS Financial Services Inc., Prime Financial Securities, Inc., Gillespie & Holland, Inc., and Thomson McKinnon Securities Inc. Anne specializes in providing financial planning, pension consulting, portfolio management for individuals and businesses, and educational seminars.
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.
Please see note in schedule d - miscellaneous
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
TX
02/13/2013 - Present
Raymond James & Associates, Inc. (HOUSTON TX)
TX
04/07/2006 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (HOUSTON TX)
NY
05/09/2005 - 04/21/2006
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NJ
01/20/2000 - 05/27/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NA
11/21/1989 - 12/18/1990
PRIME FINANCIAL SECURITIES, INC.
NA
09/01/1989 - 11/09/1989
GILLESPIE & HOLLAND, INC.
NA
03/06/1986 - 09/05/1989
THOMSON MCKINNON SECURITIES INC.
NA
09/21/1983 - 04/25/1985
RAUSCHER PIERCE REFSNES, INC.
BOTH
Issued 01/28/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/29/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/2000
Series 7 - General Securities Representative Examination
BC
Issued 02/16/1989
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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