Naomi A. Nagy
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.
Naomi Anne Nagy, who also goes by Naomi Anne Teitelbaum, Naomi Teitelbaum, was a registered financial professional .
Naomi is a previously registered financial professional and started their career in finance in 1983. Naomi had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2015 - March 8, 2016
MUTUAL SECURITIES, INC.
January 20, 2012 - April 15, 2016
MASON & ASSOCIATES, INC.
November 22, 2011 - December 17, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 1, 2006 - May 24, 2011
TRIAD ADVISORS LLC
July 15, 2005 - August 26, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 22, 2004 - December 16, 2005
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 16, 1998 - December 16, 2005
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 29, 1997 - June 5, 1998
WELLS FARGO SECURITIES INC.
January 24, 1997 - March 24, 1997
WESTERN SECURITIES CLEARING CORP.
September 17, 1996 - January 13, 1997
LASALLE FINANCIAL SERVICES, INC.
June 11, 1986 - June 1, 1988
COOPERATIVE FINANCIAL PLANNERS, LTD.
January 3, 1985 - May 21, 1996
CETERA WEALTH SERVICES, LLC
September 6, 1984 - November 7, 1984
FIRST CERTIFIED CORPORATION
July 2, 1984 - May 21, 1996
CETERA WEALTH SERVICES, LLC
February 9, 1984 - May 7, 1984
FIXED INCOME SECURITIES, INC.
March 31, 1983 - July 27, 1984
LPL FINANCIAL LLC
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
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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.
