Nancy A. Bates
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 Ann Bates was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1987. Nancy had worked at 4 firms and has passed the 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 31, 1997 - May 30, 2014
RANCE KING SECURITIES CORP.
May 13, 1994 - January 16, 1995
TITAN/VALUE EQUITIES GROUP, INC.
March 1, 1988 - May 26, 1992
IDM SECURITIES CORPORATION
August 12, 1987 - November 18, 1987
PLANMEMBER SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RANCE KING SECURITIES CORP.
CRD#: 15737 / SEC#: , 8-31539
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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