Role at Capfinancial Partners
- Title on Schedule A
- Chief Compliance Officer
- Control
- Ann Leddy is a control person of Capfinancial Partners.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Ann Leddy has held the filed role since September 2023.
The firm
Form ADV filed 30 September 2026
Career on record
Ann Leddy has been registered through Capfinancial Partners since October 2023, and before that through Vanguard Advisers, Inc..
- Vanguard Advisers, Inc.– · 2 yearsMalvern, PA · Adviser representative · Firm CRD 106715
- Passed Series 7TO, Series 24 and Series 66 · 2021
Registrations and exams
Ann Leddy has a current investment-adviser registration in New York and has passed 3 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| New York | Investment adviser representative | Approved | 19 October 2023 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 28 April 2021 |
| Series 24 | General Securities Principal Examination | 15 March 2021 |
| Series 7TO | General Securities Representative Examination | 8 February 2021 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Ann Leddy
- CRD
- 5024384
- Registration status
- Investment adviser and broker registrations
- Firm bio
- captrust.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
CAPTRUST identifies Ann Leddy as chief compliance officer and says she leads its compliance department and regulatory compliance program. Official firm biography/team page
Education
- B.A. in government and East Asian studies, College of William & Mary; J.D., Fordham University School of Law.Official firm biography/team page
Common questions
Where does Ann Leddy work?
Ann Leddy has been Chief Compliance Officer of Capfinancial Partners, LLC since September 2023, and is a control person of the firm.
Is Ann Leddy a financial advisor?
Yes. Ann Leddy has a current investment-adviser registration in New York, through Capfinancial Partners since October 2023, as of 18 October 2026.
How many years of experience does Ann Leddy have?
Ann Leddy has worked in the financial industry for 5 years as of 18 October 2026, counted from 28 March 2021, across 2 adviser firms.
What exams has Ann Leddy passed?
Ann Leddy has passed 3 licensing exams: the Series 7TO, Series 24 and Series 66. The earliest, the Series 7TO, was passed in February 2021.
Where did Ann Leddy work before Capfinancial Partners?
Before Capfinancial Partners, Ann Leddy was registered through Vanguard Advisers, Inc., May 2021 to September 2023.
Leadership at Capfinancial Partners
- James MillerChief Executive Officer
- Benjamin GoldsteinPresident
- Robert MillerChief Financial Officer
- Karen DeniseSenior Director
- Wilson HoyleManaging Director
- Christina Markell-BallezaManaging Director, General Counsel
- Scott MathesonManaging Director
- Jonathan MeyerChief Technology Officer
- Andrew RaggioSenior Director, Head of Trading
- Katelyn SampsonChief Human Resources Officer
- Derick ShoffManaging Director
- Michael VogelzangManaging Director, Chief Investment Officer
- Edward WelchManaging Director
- Michael WunderliManaging Director