Nancy Q. Cerveny
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 Qualls Cerveny, who also goes by Nancy Carroll Qualls, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1994. Nancy had worked at 4 firms and has passed the Series 65, Series 63, 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
January 2, 2004 - November 10, 2014
WESTMINSTER FINANCIAL SECURITIES, INC.
July 19, 1999 - January 2, 2004
MORGAN STANLEY DW INC.
June 13, 1996 - January 2, 2004
MORGAN STANLEY DW INC.
February 23, 1996 - June 17, 1996
ESSEX NATIONAL SECURITIES, LLC
November 23, 1994 - February 23, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
WESTMINSTER FINANCIAL SECURITIES, INC.
CRD#: 20677 / SEC#: , 8-38426
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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