Nancy S. Mowbray
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 Sue Mowbray, who also goes by Nancy S Hayduk, Nancy Sue Hayduk, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1987. Nancy had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - June 3, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 26, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
March 6, 2014 - June 3, 2024
FIDELITY BROKERAGE SERVICES LLC
January 3, 2011 - March 22, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 19, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
October 7, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 12, 2002 - November 1, 2006
ARCHIPELAGO SECURITIES L.L.C.
October 23, 2001 - August 12, 2002
WAVE SECURITIES, LLC
May 11, 2000 - July 6, 2001
THOMAS WEISEL PARTNERS LLC
April 10, 2000 - May 18, 2000
QUEST CAPITAL STRATEGIES, INC.
February 3, 1995 - April 21, 1998
PREFERREDTRADE, INC.
October 24, 1990 - August 30, 1994
CHARLES SCHWAB & CO., INC.
September 20, 1988 - October 8, 1990
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 18, 1987 - November 25, 1987
PRUDENTIAL EQUITY GROUP, LLC
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 8
Date: 5/4/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
