Nancy K. Williams
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 Kaye Williams, who also goes by Nancy Kaye Dull, Dull Sweeney, Nancy Kaye Sweeney, Nancy Kaye Dull Sweeney, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1984. Nancy had worked at 4 firms and has passed the Series 65, 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
April 4, 2012 - July 18, 2013
CES INVESTMENT MANAGEMENT & CONSULTING, LLC
May 20, 2009 - August 12, 2009
REALTA INVESTMENT ADVISORS, INC
April 16, 1987 - May 7, 1997
WILMINGTON BROKERAGE SERVICES COMPANY
March 22, 1984 - February 8, 1985
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
CES INVESTMENT MANAGEMENT & CONSULTING, LLC
CRD#: 159160 / SEC#:
Contact information
Red Flags
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