Nancy D. Johns
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 Diane Johns, who also goes by Nancy Diane Haugh, Nancy Diane Oaks, Nancy Oaks, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1984. Nancy had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 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
September 16, 2014 - August 19, 2020
LOCKTON INVESTMENT SECURITIES, LLC
July 17, 2009 - September 15, 2014
KESTRA INVESTMENT SERVICES, LLC
April 12, 2004 - June 30, 2009
HORNOR, TOWNSEND & KENT, LLC
August 28, 2003 - February 24, 2004
NEW ENGLAND SECURITIES
March 26, 1984 - September 23, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
LOCKTON INVESTMENT SECURITIES, LLC
CRD#: 137476 / SEC#: , 8-67090
Contact information
FINRA licenses (52 States and Territories)
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.
