Nancy A. Simoneschi
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 Ann Simoneschi was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1984. Nancy had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4, Series 53, 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
December 7, 2017 - December 31, 2017
CETERA INVESTMENT ADVISERS LLC
December 6, 2017 - December 31, 2017
CETERA INVESTMENT SERVICES LLC
May 5, 2016 - December 6, 2017
INVEST FINANCIAL CORPORATION
May 5, 2016 - December 6, 2017
INVEST FINANCIAL CORPORATION
July 30, 2015 - April 4, 2016
SANTANDER SECURITIES LLC
July 28, 2015 - April 4, 2016
SANTANDER SECURITIES LLC
January 28, 2015 - July 22, 2015
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - July 22, 2015
CAPITAL ONE INVESTING, LLC
June 13, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
June 11, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
March 27, 2006 - September 5, 2013
PNC WEALTH MANAGEMENT LLC
March 23, 2006 - September 5, 2013
PNC WEALTH MANAGEMENT LLC
September 18, 1996 - March 6, 2006
CHASE INVESTMENT SERVICES CORP.
September 18, 1996 - March 6, 2006
CHASE INVESTMENT SERVICES CORP.
July 22, 1994 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
January 12, 1994 - August 1, 1994
IFMG SECURITIES, INC.
June 1, 1992 - January 19, 1994
CITICORP INVESTMENT SERVICES
September 25, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
July 20, 1988 - October 3, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
November 17, 1987 - June 2, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
December 21, 1984 - December 22, 1987
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
