Nancy M. Green

EDWARD S. GREEN & ASSOCIATES

SYRACUSE, NY 13202

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CRD#: 1528591

Professional summary

Nancy Mai Green, who also goes by Nancy M Green, is a registered financial advisor currently at EDWARD S. GREEN & ASSOCIATES, LLC located in Syracuse, New York.

Nancy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Nancy has worked at 3 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nancy M Green

Other business activities

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.

BOUSQUET HOLSTEIN PLLC. NOT INVESTMENT RELATED. 110 WEST FAYETTE ST., SYRACUSE, NY 13202. HUMAN RESOURCES CONSULTING. CONSULTANT SINCE 09/01/2017. 15 HOURS PER MONTH; 2 HOURS PER MONTH DURING SECURITIES TRADING HOURS. HUMAN RESOURCES CONSULTING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy Mai Green's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 13, 2021 - Present

EDWARD S. GREEN & ASSOCIATES, LLC

Office #1: 900 Lincoln Center Suite 1000, Syracuse, NY 13202

RIA

CRD#: 109243

SYRACUSE, NY

Past

February 9, 2009 - March 15, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SYRACUSE, NY

Past

May 15, 2007 - March 15, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SYRACUSE, NY

Past

July 23, 1986 - January 9, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(8/13/2021)

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

State Security Law Exam

IAR

Series 65

Date: 6/28/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/7/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/9/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/14/2007

General Securities Representative Examination

Current Firm

EDWARD S. GREEN & ASSOCIATES, LLC

EDWARD S. GREEN & ASSOCIATES, LLC | GREEN & SEIFTER INVESTMENT ADVISERS LLC

CRD#: 109243 / SEC#: 801-58151

RIA

Registered Investment Advisory firm - (7/23/2019 Terminated)

New York

Registered Investment Advisory firm - (7/19/2019 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

110 West Fayette Street One Lincoln Center, Suite 1000, Syracuse, NY 13202

Mailing Address

Phone number

(315) 701-6329

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Firm Stability Insights

Nancy M. Green

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy Mai Green's CRS (Customer Relationship Summary).

Certified licenses

Experience

EDWARD S. GREEN & ASSOCIATES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/28/2019

Series 66

Date: 6/7/2007

Series 63

Date: 9/9/1986

Series 7

Date: 5/14/2007

Current Firm

EDWARD S. GREEN & ASSOCIATES, LLC

Contact information

Documents

Red Flags

Company Information

EDWARD S. GREEN & ASSOCIATES, LLC

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