Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ANN ELIZABETH HARTY
ANN ELIZABETH HARTY SHIMAK
CRD#: 5485064
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 10 N WASHINGTON NW CENTER STE 201
MASON CITY, IA 50401
Registration History
20082010201220142016201820202022202420262 FIRMS2018 - Present (7 years)BWORLD TREND FINANCIAL PLANNING... (CRD# 28289)2015 - 2016 (<1 year)BWORLD TREND FINANCIAL PLANNING... (CRD# 28289)2008 - 2015 (7 years)
License(s)

State Registrations

B
Arkansas 11/1/2023
B
Massachusetts 11/1/2023
B
Florida 11/4/2024
B
Missouri 4/19/2018
B
Illinois 4/19/2018
B
Nebraska 11/4/2024
B
Iowa 1/24/2018
B
South Dakota 11/4/2024
IA
Iowa 4/4/2018
B
Utah 11/1/2023
B
Kansas 11/4/2024

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
10 N WASHINGTON NW CENTER STE 201, MASON CITY, IA 50401
MASON CITY, IA
Registered with this firm since 4/4/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
10 N WASHINGTON NW CENTER STE 201, MASON CITY, IA 50401
MASON CITY, IA
Registered with this firm since 1/24/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/29/2015 - 02/18/2016 WORLD TREND FINANCIAL PLANNING SERVICES, LTD. (CRD#:28289) CEDAR RAPIDS, IA
B
 05/23/2008 - 09/18/2015 WORLD TREND FINANCIAL PLANNING SERVICES, LTD. (CRD#:28289) CEDAR RAPIDS, IA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.