Nancy A. Thomas
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 Thomas, who also goes by Nancy Ann Jensen, Nancy Thomas, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1990. Nancy had worked at 3 firms and has passed the Series 66, Series 7TO, SIE 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
June 6, 2022 - March 3, 2023
MARYLAND CAPITAL MANAGEMENT, LLC
November 22, 2016 - January 13, 2022
RBC CAPITAL MARKETS, LLC
June 8, 2015 - January 13, 2022
RBC CAPITAL MARKETS, LLC
March 28, 1990 - July 6, 1994
CITIGROUP GLOBAL MARKETS 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
Series 7TO
Date: 7/7/2022
General Securities Representative ExaminationCurrent Firm
MARYLAND CAPITAL MANAGEMENT, LLC
CRD#: 133329 / SEC#: 801-63649
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,679 |
| AUM (Assets Under Management) | $ 2,453,166,701 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2023 |
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.
