Nancy Abraham
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 Abraham was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1983. Nancy had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2021 - June 12, 2025
TRIO ADVISORS, INC.
May 6, 2004 - January 3, 2006
OPPENHEIMER & CO. INC.
March 3, 2004 - May 19, 2004
J.P. MORGAN SECURITIES LLC
February 9, 1996 - April 2, 2004
UBS FINANCIAL SERVICES INC.
September 22, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 21, 1983 - February 20, 1996
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TRIO ADVISORS, INC.
CRD#: 171291 / SEC#: 801-79675
Contact information
Regulatory assets under management
| Total Number of Accounts | 12 |
| AUM (Assets Under Management) | $ 47,100,846 |
Red Flags
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