Nancy L. Studenroth
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 Lee Studenroth was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1986. Nancy had worked at 6 firms and has passed the Series 63 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
August 2, 2010 - August 27, 2012
GLEACHER & COMPANY SECURITIES, INC.
July 10, 2009 - August 9, 2010
KNIGHT LIBERTAS LLC
July 16, 1996 - April 13, 2004
DWS DISTRIBUTORS, INC.
August 31, 1987 - July 3, 1996
CITIGROUP GLOBAL MARKETS INC.
February 11, 1987 - August 17, 1987
UBS FINANCIAL SERVICES INC.
October 24, 1986 - January 10, 1987
FIRST AMERICAN CAPITAL RESOURCES, 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
GLEACHER & COMPANY SECURITIES, INC.
CRD#: 298 / SEC#: , 8-2018
Contact information
Documents
Disclosures
| Regulatory Event | 33 |
| Civil Event | 1 |
| Arbitration | 10 |
Red Flags
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