Nancy H. Martin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nancy Hoff Martin, who also goes by Nancy Lee Hoff, Nancy Hoff Miller, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1982. Nancy had worked at 7 firms and has passed the Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 1995 - August 22, 1995
SHAMROCK PARTNERS, LTD
September 28, 1993 - July 20, 1995
TEXAS CAPITAL SECURITIES, INC.
July 7, 1993 - September 13, 1993
D.E. FREY & COMPANY, INC.
May 13, 1991 - July 8, 1993
ROTH CAPITAL PARTNERS, LLC
May 23, 1986 - January 31, 1990
PRUDENTIAL EQUITY GROUP, LLC
March 7, 1983 - June 5, 1984
WADDELL & REED
March 2, 1982 - December 16, 1982
GOTTLIEB & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SHAMROCK PARTNERS, LTD
CRD#: 23955 / SEC#: , 8-40676
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
