Nancy A. Westwick
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 Westwick, who also goes by Nancy Ann Ingraham, Nancy Ann Nadwidney, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1985. Nancy had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 15, Series 5, Series 7, Series 24 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 18, 2011 - April 18, 2018
R.J. O'BRIEN SECURITIES, LLC
January 28, 2003 - September 20, 2005
REFCO SECURITIES, LLC
January 17, 2001 - November 14, 2001
LIND-WALDOCK SECURITIES, INC.
April 14, 1994 - July 27, 2000
DFG CORPORATION
March 13, 1991 - July 27, 2000
BLUE RIVER CAPITAL LLC
October 30, 1990 - June 17, 1991
SANDS BROTHERS & CO., LTD.
November 19, 1985 - June 10, 1991
GREENFIELD PARTNERS
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: 8/25/1987
Foreign Currency Options ExaminationSeries 5
Date: 7/7/1987
Interest Rate Options ExaminationCurrent Firm
R.J. O'BRIEN SECURITIES, LLC
CRD#: 143624 / SEC#: , 8-67587
Contact information
FINRA licenses (30 States and Territories)
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.
