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Ann Marie Senne

Other Names: Ann Marie Parr
Firm:
RBC Capital Markets, LLC
Additional Firm:
Rbc Global Asset Management (U.S.) Inc.
Director
Type: Dual Registration
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Description

Ann Senne is a financial professional at RBC Capital Markets, LLC, a broker-dealer with over 4,700 registered representatives nationwide. Ann has held an industry securities registration for 13 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Ann Marie Senne has not answered any questions on Financial Q&A.

Top Guides

Ann Marie Senne has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
Business Development Companies
Other Investment Advisors
State or Municipal Government Entities
Other Pooled Investment Vehicles
Investment Companies
Charitable Organizations
Corporations or Other Businesses
Pension and Profit Sharing Plans
Banking or Thrift Institutions
High Net Worth Individuals
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Rbc Global Asset Management (U.S.) Inc. 1 year, 7 months Nov 2011 - Present
Rbc Capital Markets Corporation 5 years, 3 months Mar 2008 - Present
Dain Rauscher Incorporated 13 years, 9 months Jun 1994 - Mar 2008
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/26/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
06/26/2012
08/01/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
General Securities Principal Examination Series 24 07/19/2007
Uniform Combined State Law Examination Series 66 12/31/1999
General Securities Representative Examination Series 7 09/03/1999

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions