Nancy Dunham Cleveland
Professional Summary
Nancy Dunham Cleveland is a registered financial advisor currently at NBT CAPITAL MANAGEMENT, INC. located in Milwaukee, Wisconsin. Nancy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Nancy has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
Years of Experience
40 years in the financial services industry
Current & Past Employments
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
Current Firm
BAY RIDGE ADVISOR GROUP, INC. | UPSTATE MANAGEMENT ASSOCIATES INC | NBT CAPITAL MANAGEMENT, INC. | NBT CAPITAL MANAGEMENT | NAVIGATE RETIREMENT SOLUTIONS | COLUMBIA RIDGE CAPITAL MANAGEMENT, INC. | COLUMBIA RIDGE CAPITAL MANAGEMENT | CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT | BAYRIDGE ADVISORS | BAY RIDGE GROUP
Contact Information
Main Address
52 South Broad Street, Norwich, NY 13815Phone Number
(607) 584-4141# of Employees
12SEC notice filing (21 States and Territories)
Registered to provide investment advisory services in 21 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,308AUM (Assets Under Management)
$1,608,495,723Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/15/2026 | Cover Page | Report |
| 09/16/2024 | Cover Page | Report |
| 01/11/2024 | Cover Page | Report |
| 11/14/2023 | Cover Page | Report |
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
Primary Firm SEC Registration
BAY RIDGE ADVISOR GROUP, INC. | UPSTATE MANAGEMENT ASSOCIATES INC | NBT CAPITAL MANAGEMENT, INC. | NBT CAPITAL MANAGEMENT | NAVIGATE RETIREMENT SOLUTIONS | COLUMBIA RIDGE CAPITAL MANAGEMENT, INC. | COLUMBIA RIDGE CAPITAL MANAGEMENT | CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT | BAYRIDGE ADVISORS | BAY RIDGE GROUP
State Registrations and Notice Filings
(4/11/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Oct 2004About the Series 26 examSimilar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Nancy Dunham Cleveland's CRS (Customer Relationship Summary).
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
