Nancy K. Priest
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 Karleen Priest, who also goes by Nancy Karleen Hillmar, Nancy Karleen Hillmer, Nancy K Priest, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1984. Nancy had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 8 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
January 11, 2008 - September 15, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 2008 - September 15, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2006 - January 24, 2008
UBS FINANCIAL SERVICES INC.
May 30, 2006 - January 24, 2008
UBS FINANCIAL SERVICES INC.
May 3, 2005 - May 15, 2006
J.J.B. HILLIARD, W.L. LYONS, LLC
February 1, 2005 - May 15, 2006
J.J.B. HILLIARD, W.L. LYONS, LLC
August 6, 2004 - December 7, 2004
DAWSON JAMES SECURITIES, INC.
September 8, 2003 - October 26, 2004
VIEWTRADE FINANCIAL
September 16, 2002 - May 27, 2003
VIEWTRADE FINANCIAL
May 29, 2002 - September 30, 2002
PROGRAM TRADING CORP.
October 9, 2001 - June 28, 2002
STERLING FINANCIAL INVESTMENT GROUP, INC.
July 7, 1998 - September 27, 2001
EMERSON BENNETT & ASSOCIATES
May 16, 1997 - June 16, 1998
JOSEPH CHARLES & ASSOC., INC.
January 18, 1993 - May 16, 1997
TUSCANY EQUITY MANAGEMENT CORPORATI0N
July 24, 1992 - February 2, 1993
JOSEPHTHAL & CO., INC.
May 8, 1987 - July 27, 1992
J. W. GANT & ASSOCIATES, INC.
August 1, 1984 - April 2, 1985
WILLIAM BARTON FINANCIAL, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 8
Date: 10/6/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
