Nancy S. Greaff
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 Shaw Greaff, who also goes by Shaw Graff, Nancy Shaw, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1987. Nancy had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2013 - December 31, 2022
AVANTAX ADVISORY SERVICES
May 13, 2010 - December 31, 2022
AVANTAX INVESTMENT SERVICES, INC.
September 6, 2006 - April 29, 2010
AFA FINANCIAL GROUP, LLC
January 20, 1994 - November 14, 2006
AVANTAX ADVISORY SERVICES
May 22, 1987 - October 6, 2006
AVANTAX INVESTMENT 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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
