Nancy A. Ohearn
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 Ohearn, who also goes by Nancy Ann Forbes, Nancy Forbes, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1989. Nancy had worked at 21 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 24 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2024 - October 23, 2024
UNION SQUARE ADVISORS LLC
January 25, 2023 - June 30, 2023
LIBERTY WEALTH MANAGEMENT, LLC
March 18, 2022 - August 25, 2022
UNION SQUARE ADVISORS LLC
January 3, 2020 - July 29, 2020
MERAKI GLOBAL ADVISORS LLC
May 13, 2019 - December 10, 2019
STONNINGTON GROUP, LLC
May 13, 2019 - December 10, 2019
STONNINGTON GROUP, LLC
June 7, 2018 - October 10, 2018
LIBERTY GROUP, LLC
June 7, 2018 - April 16, 2019
LIBERTY WEALTH MANAGEMENT, LLC
June 7, 2018 - April 17, 2019
LIBERTY GROUP, LLC
January 15, 2016 - October 3, 2016
CARY STREET PARTNERS
January 14, 2016 - October 3, 2016
CARY STREET PARTNERS
May 15, 2014 - December 19, 2014
MORGAN STANLEY
May 15, 2014 - December 19, 2014
MORGAN STANLEY
April 3, 2013 - January 22, 2014
WORLD EQUITY GROUP, INC.
April 16, 2012 - January 18, 2013
GORDIAN INVESTMENTS, LLC
May 3, 2010 - September 1, 2010
VANDERBILT SECURITIES, LLC
September 14, 2007 - May 1, 2008
ESPOSITO SECURITIES, LLC
August 22, 2007 - November 5, 2007
WFG INVESTMENTS, INC.
January 10, 2007 - August 24, 2007
WELLS FARGO PRIME SERVICES, LLC
September 9, 2004 - April 3, 2013
O'HEARN CAPITAL MANAGEMENT
August 1, 2001 - December 31, 2005
BANC OF AMERICA SECURITIES LLC
October 31, 1997 - January 3, 2007
BANC OF AMERICA SECURITIES LLC
April 18, 1996 - October 24, 1997
NATIONAL SECURITIES CORPORATION
June 3, 1994 - June 5, 1997
NAVELLIER SECURITIES CORP.
April 13, 1993 - October 8, 1993
G.R. STUART & COMPANY, INC.
August 3, 1990 - April 18, 1991
MONARCH SECURITIES, INC.
August 22, 1989 - September 5, 1989
HAMBRECHT & QUIST 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/10/2001
Limited Representative-Equity Trader ExamCurrent Firm
UNION SQUARE ADVISORS LLC
CRD#: 141254 / SEC#: 802-119325, 8-67371
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEACLIFF ADVISORS LLC | SOLE MEMBER OF THE APPLICANT | |
| KAWARABAYASHI, WAYNE I | CHIEF OPERATIONS OFFICER AND AML COMPLIANCE OFFICER | 3149707 |
| MCCLELLAND, WILLIAM CARTER | CHAIRMAN & CEO | 815173 |
| MEYER, MICHAEL WILLIAM | CHIEF EXECUTIVE OFFICER | 2021325 |
| POSTREL, HELENE BERSON | FINANCIAL OPERATIONS PRINCIPAL | 2240945 |
| SMITH, EDWARD RIFE | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2085236 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 4/4/2024 |
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.
