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NP

Nancy K. Pelfresne

Some features on this profile are disabled
CRD#: 1197849
NP

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 Kay Pelfresne was a registered financial professional .

Nancy is a previously registered financial professional and started their career in finance in 1983. Nancy had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 27, 2018 - September 11, 2019

TD AMERITRADE, INC.

RIA
CRD#: 7870
PORTAGE, MI
Past

February 26, 2018 - September 11, 2019

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Portage, MI
Past

February 26, 2018 - September 11, 2019

TD AMERITRADE, INC.

BD
CRD#: 7870
PORTAGE, MI
Past

May 30, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
SAINT LOUIS, MO
Past

July 16, 2013 - February 26, 2018

SCOTTRADE, INC.

BD
CRD#: 8206
PORTAGE, MI
Past

July 7, 2010 - May 24, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
RICHLAND, MI
Past

November 20, 2008 - May 24, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
RICHLAND, MI
Past

December 20, 2005 - October 9, 2008

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
RICHLAND, MI
Past

June 6, 1996 - June 23, 1997

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
PORTLAND, ME
Past

August 11, 1992 - April 2, 1996

PONTELLO PRIOR SCHUT & VLIEK, INC.

BD
CRD#: 29204
PORTAGE, MI
Past

April 20, 1989 - August 14, 1992

NATCITY INSURANCE SERVICES, INC.

BD
CRD#: 16989
CLEVELAND, OH
Past

February 15, 1988 - May 4, 1989

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

October 20, 1983 - February 15, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/30/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/18/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/10/2013
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/3/2013
General Securities Sales Supervisor - Options Module Examination

Current Firm

TD AMERITRADE, INC.
TD AMERITRADE, INC.
TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

BD
Terminated by SEC on 09/17/2024
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Contact information

Main Address
200 South 108th Avenue, Omaha, NE 68154
Mailing Address
Phone number
(800) 669-3900
Established
New York since 09/29/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
5,840

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TD AMERITRADE ONLINE HOLDINGS LLC.OWNER
KONOP, LYNN MARIECHIEF COMPLIANCE OFFICER - BD1216310
KOSTULIAS, JAMES ROBERTPRESIDENT3091009
STARR, JEFFREY HAROLDMANAGING DIRECTOR, OPERATIONS4700461
THOMPSON, AARON MARKCHIEF FINANCIAL OFFICER/FINOP6483170

Disclosures

Regulatory Event79
Civil Event1
Arbitration145

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.

Company Information

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CRD#: 7870

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