Nancy A. Noyes
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 Noyes, who also goes by Nancy Noyes Murphy, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1985. Nancy had worked at 4 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 3, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2013 - March 20, 2017
LEATHE & ASSOCIATES, LLC
September 1, 1998 - April 14, 2003
CITIGROUP GLOBAL MARKETS INC.
October 1, 1993 - March 20, 2006
SALOMON BROTHERS ASSET MANAGEMENT INC
October 20, 1992 - September 1, 1998
SALOMON BROTHERS INC.
February 21, 1985 - April 16, 1992
SALOMON BROTHERS INC.
Primary Firm SEC Registration
LEATHE & ASSOCIATES, LLC
CRD#: 133651 / SEC#: 801-131445
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 15
Date: 3/11/1986
Foreign Currency Options ExaminationSeries 5
Date: 9/5/1985
Interest Rate Options ExaminationCurrent Firm
LEATHE & ASSOCIATES, LLC
CRD#: 133651 / SEC#: 801-131445
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 133 |
| AUM (Assets Under Management) | $ 122,813,745 |
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.
