Nancy Olsen
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 Olsen, who also goes by Nancy Arndt, Nancy Belfield, Nancy Lucas, Nancy D Olsen, Nancy Olsen Schulz, Nancy Olsen D Schulz, Nancy Travis, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1985. Nancy had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2016 - May 5, 2017
PRINCIPAL SECURITIES, INC.
November 2, 2007 - April 22, 2016
NATIONWIDE SECURITIES, LLC
March 16, 2007 - September 26, 2007
SII INVESTMENTS, INC.
March 16, 2007 - September 26, 2007
INVESTMENT CENTERS OF AMERICA, INC.
June 1, 2006 - March 9, 2007
NATIONWIDE SECURITIES, LLC
September 27, 2004 - May 4, 2006
PRINCIPAL SECURITIES, INC.
December 10, 2003 - September 15, 2004
PACKERLAND BROKERAGE SERVICES, INC.
December 17, 2001 - December 10, 2003
SII INVESTMENTS, INC.
June 26, 2001 - November 13, 2001
NATIONAL PLANNING CORPORATION
January 2, 2001 - June 25, 2001
SII INVESTMENTS, INC.
April 22, 1998 - December 31, 2000
NATIONAL PLANNING CORPORATION
April 24, 1989 - December 31, 1997
VOYA FINANCIAL ADVISORS, INC.
October 8, 1987 - May 2, 1989
MSI FINANCIAL SERVICES, INC.
April 22, 1985 - May 2, 1989
METROPOLITAN LIFE INSURANCE COMPANY
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
