Nancy Heim
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 Heim was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1986. Nancy had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2013 - December 13, 2013
EQUIBOND, INC.
March 9, 2010 - November 4, 2011
UBS FINANCIAL SERVICES INC.
March 5, 2010 - November 4, 2011
UBS FINANCIAL SERVICES INC.
March 6, 1997 - January 21, 2010
EQUIBOND, INC.
April 10, 1996 - December 31, 1996
DRAKE & COMPANY, INC.
January 4, 1993 - February 22, 1996
PRUDENTIAL EQUITY GROUP, LLC
December 18, 1989 - January 6, 1993
DRAKE & COMPANY, INC.
November 7, 1988 - December 19, 1989
WEDBUSH SECURITIES INC.
March 3, 1987 - December 19, 1989
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
March 18, 1986 - March 5, 1987
DOVER GROUP, INC.
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 2
Date: 6/14/1985
Non-Member General Securities ExaminationCurrent Firm
EQUIBOND, INC.
CRD#: 37378 / SEC#: , 8-47788
Contact information
Documents
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.
