Nancy K. Carpey
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 Kessler Carpey, who also goes by Nancy Lynne Kessler, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1984. Nancy had worked at 3 firms and has passed the Series 63, Series 3, Series 7 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 1991 - January 6, 1995
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
December 23, 1987 - September 13, 1989
MORGAN STANLEY DW INC.
October 26, 1984 - September 4, 1987
JANNEY MONTGOMERY SCOTT LLC
State Registrations and Notice Filings
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Exams
Series 15
Date: 10/15/1984
Foreign Currency Options ExaminationCurrent Firm
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
CRD#: 16201 / SEC#: , 8-33473
Contact information
Documents
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.
