Nancy E. Ritter
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 Ellen Ritter, who also goes by Nancy Ellen Lamy, Nancy E Ritter, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1991. Nancy had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6, Series 53, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2019 - July 31, 2024
ALLSPRING FUNDS DISTRIBUTOR, LLC
May 23, 2006 - June 24, 2014
EQUITABLE ADVISORS, LLC
March 27, 2006 - May 15, 2006
ROBERTS & RYAN, INC.
May 24, 2004 - February 16, 2006
BANC OF AMERICA SECURITIES LLC
February 15, 2001 - May 15, 2003
SCOTTRADE, INC.
August 23, 2000 - February 26, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 6, 1999 - November 29, 1999
CHARLES SCHWAB & CO., INC.
November 18, 1997 - December 10, 1998
CITICORP INVESTMENT SERVICES
June 20, 1995 - May 12, 1997
MORGAN STANLEY DW INC.
May 23, 1991 - December 5, 1994
FIDELITY BROKERAGE SERVICES 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
Current Firm
ALLSPRING FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLC | PARENT | |
| GIBSON, LORI MITCHUM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 3070238 |
| KENNEY, JOHN DUFF | DIRECTOR | 2387755 |
| MCKINLEY, KATHERINE SANDMAN | CHIEF LEGAL OFFICER | 6807581 |
| MONINGER, JOHN KENNETH | PRESIDENT/CHAIRMAN | 2494976 |
| WILARY, CAROLYN ANN | CHIEF COMPLIANCE OFFICER | 4220513 |
Disclosures
| Regulatory Event | 1 |
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.
