AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
NR

Nancy E. Reif

CEROS FINANCIAL SERVICES
New York, NY 10017
Some features on this profile are disabled
CRD#: 1322787
NR

Professional summary

Nancy Ellen Reif, who also goes by Nancy Reif, Nancy Ellen Reiftullman, Nancy Ellen Tullam, Nancy Reif Tullman, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in New York, New York.

Nancy is registered as a RR (Registered Representative) and started their career in finance in 1985. Nancy has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nancy Reif | Nancy Ellen Reiftullman | Nancy Ellen Tullam | Nancy Reif Tullman

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) - BD

Click below to view Nancy Ellen Reif's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 20, 2025 - Present

CEROS FINANCIAL SERVICES, INC.

Office #1: 295 Madison Ave. Suite 1102, New York, NY 10017
BD
CRD#: 37869
New York, NY
Past

November 18, 2021 - May 27, 2022

HARLEY CAPITAL LLC

BD
CRD#: 310046
WESTPORT, CT
Past

April 15, 2015 - November 19, 2021

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
New York, NY
Past

January 7, 2015 - April 10, 2015

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
NEW YORK, NY
Past

January 31, 2005 - April 16, 2007

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
NEW YORK, NY
Past

February 13, 2003 - April 26, 2004

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

October 28, 2002 - March 3, 2003

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

April 9, 1998 - August 21, 2002

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

January 29, 1991 - December 9, 1996

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

April 15, 1988 - December 7, 1990

RODMAN & RENSHAW INC.

BD
CRD#: 724
CHICAGO, IL
Past

November 2, 1985 - April 26, 1988

KUHNS BROTHERS & LAIDLAW, INC.

BD
CRD#: 1481
Past

May 10, 1985 - November 14, 1985

BROADCHILD SECURITIES CORP.

BD
CRD#: 7702
Past

January 23, 1985 - May 8, 1985

D. H. BLAIR & CO., INC.

BD
CRD#: 6833

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(9/17/2025)
RR
Alaska
(9/17/2025)
RR
Arizona
(9/26/2025)
RR
Arkansas
(9/29/2025)
RR
California
(9/17/2025)
RR
Colorado
(9/18/2025)
RR
Connecticut
(7/28/2025)
RR
Delaware
(9/18/2025)
RR
District of Columbia
(9/18/2025)
RR
Florida
(9/17/2025)
RR
Georgia
(9/18/2025)
RR
Hawaii
(9/18/2025)
RR
Idaho
(9/17/2025)
RR
Illinois
(9/17/2025)
RR
Indiana
(9/24/2025)
RR
Iowa
(9/17/2025)
RR
Kansas
(9/17/2025)
RR
Kentucky
(9/17/2025)
RR
Louisiana
(9/17/2025)
RR
Maine
(9/17/2025)
RR
Maryland
(9/18/2025)
RR
Massachusetts
(9/17/2025)
RR
Michigan
(9/17/2025)
RR
Minnesota
(9/17/2025)
RR
Mississippi
(9/17/2025)
RR
Missouri
(9/17/2025)
RR
Montana
(9/17/2025)
RR
Nebraska
(9/17/2025)
RR
Nevada
(9/17/2025)
RR
New Hampshire
(9/19/2025)
RR
New Jersey
(9/17/2025)
RR
New Mexico
(9/17/2025)
RR
New York
(9/7/2025)
RR
North Carolina
(9/17/2025)
RR
North Dakota
(9/22/2025)
RR
Ohio
(9/17/2025)
RR
Oklahoma
(9/17/2025)
RR
Oregon
(9/19/2025)
RR
Pennsylvania
(9/18/2025)
RR
Puerto Rico
(10/2/2025)
RR
Rhode Island
(9/18/2025)
RR
South Carolina
(9/17/2025)
RR
South Dakota
(9/17/2025)
RR
Tennessee
(9/18/2025)
RR
Texas
(9/17/2025)
RR
Utah
(9/18/2025)
RR
Vermont
(9/17/2025)
RR
Virginia
(9/18/2025)
RR
Washington
(9/17/2025)
RR
West Virginia
(9/24/2025)
RR
Wisconsin
(9/17/2025)
RR
Wyoming
(9/22/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/2/2025
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: 1/7/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/9/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869New York, NY 10017

TRUST BUT VERIFY

Monitor Nancy Reif

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics