Nancy E. Anderson
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 Ellen Anderson was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1985. Nancy had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2008 - October 6, 2023
UBS ASSET MANAGEMENT (US) INC.
May 26, 2004 - April 24, 2007
DWS DISTRIBUTORS, INC.
September 14, 1998 - November 9, 2001
GOLDMAN SACHS & CO. LLC
November 10, 1995 - August 19, 1998
BNY MELLON SECURITIES CORPORATION
January 10, 1985 - September 27, 1995
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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