Nancy Fromm
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 Fromm was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1989. Nancy had worked at 5 firms and has passed the Series 65, Series 63, SIE 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 29, 2018 - December 31, 2022
AE WEALTH MANAGEMENT, LLC
June 6, 2014 - December 26, 2014
CENTER STREET SECURITIES, INC.
September 15, 2011 - October 29, 2018
BROOKSTONE CAPITAL MANAGEMENT LLC
January 4, 2010 - June 6, 2014
CENTER STREET SECURITIES, INC.
July 31, 2007 - December 31, 2009
FINANCIAL WEST GROUP
May 4, 2007 - June 29, 2007
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 27, 1989 - June 29, 2007
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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