Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anne? Claim Your ProfileAnne Uy Fiato is a financial professional with over 30 years of experience in the industry. Anne has held numerous roles at various firms, including PaineWebber Incorporated, Kidder, Peabody & Co. Incorporated, and Thomas Green/San Diego Securities Incorporated. Currently, Anne is an Investment Advisor Representative at RBC Capital Markets, LLC. Anne is registered with FINRA as a General Securities Principal and holds Series 7, 9, 10, 24, 63 and 65 licenses. Anne is also a registered investment advisor in California and Texas.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CA
04/07/2021 - Present
RBC Capital Markets, LLC (LA JOLLA CA)
CA
03/05/1999 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
CA
07/23/1997 - 02/24/1999
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NJ
01/28/1995 - 07/10/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
03/27/1991 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
CA
07/06/1990 - 04/08/1991
THOMAS GREEN/SAN DIEGO SECURITIES INCORPORATED (LOS ANGELES CA)
NA
11/02/1989 - 06/08/1990
HOME LIFE INSURANCE COMPANY
CT
11/02/1989 - 06/08/1990
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
AZ
08/22/1989 - 05/22/1990
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
IA
Issued 11/02/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/25/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/10/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/06/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/09/1989
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/1989
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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