Cheryl A. Nord
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.
Cheryl Ann Nord, who also goes by Cheryl Ann Haas, Cheryl Ann Marsicano, Cheryl A Nord, Cheryl Ann Spellman, was a registered financial professional .
Cheryl is a previously registered financial professional and started their career in finance in 2002. Cheryl had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2012 - July 1, 2022
SECURITIES AMERICA, INC.
June 18, 2009 - March 16, 2010
LPL FINANCIAL LLC
June 16, 2009 - March 16, 2010
LPL FINANCIAL LLC
October 23, 2006 - June 17, 2009
CUNA BROKERAGE SERVICES, INC.
October 23, 2006 - June 17, 2009
CUNA BROKERAGE SERVICES, INC.
March 29, 2006 - October 17, 2006
SECU BROKERAGE SERVICES
March 1, 2006 - October 17, 2006
SECU BROKERAGE SERVICES
February 12, 2003 - September 1, 2005
UBS FINANCIAL SERVICES INC.
October 31, 2002 - September 1, 2005
UBS FINANCIAL SERVICES 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
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
