Nancy A. Zack
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 Anne Zack, who also goes by Nancy Ann Zack, Nancy Ann Dobson Zack, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1998. Nancy had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 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
February 11, 2022 - December 14, 2023
JANNEY MONTGOMERY SCOTT LLC
February 10, 2022 - December 14, 2023
JANNEY MONTGOMERY SCOTT LLC
January 26, 2016 - June 3, 2021
JANNEY MONTGOMERY SCOTT LLC
January 26, 2016 - June 3, 2021
JANNEY MONTGOMERY SCOTT LLC
November 13, 2012 - February 10, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
November 1, 2012 - February 10, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
July 27, 2009 - January 27, 2012
MORGAN STANLEY
June 1, 2009 - January 27, 2012
MORGAN STANLEY
May 7, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 30, 2007 - May 15, 2008
J.P. MORGAN SECURITIES LLC
February 3, 2006 - February 8, 2007
CREDIT SUISSE SECURITIES (USA) LLC
June 11, 1999 - March 9, 2004
J.P. MORGAN SECURITIES LLC
February 12, 1998 - June 3, 1999
J.C. BRADFORD & CO.
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
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
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
