Nancy L. Gunning-sluby
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 Lee Gunning-sluby, who also goes by Nancy Lee Gunning, Nancy Lee Gunning Sluby, Nancy Gunning Sluby, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1986. Nancy had worked at 4 firms and has passed the Series 63, Series 82TO, Series 99TO, Series 22TO, Series 6TO, SIE, Series 7, Series 26, Series 39, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2020 - May 6, 2025
WELLS FARGO SECURITIES, LLC
December 22, 2018 - July 27, 2020
MORGAN STANLEY & CO. LLC
July 25, 1987 - April 7, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
May 27, 1986 - April 20, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
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
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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