Don L. Nance
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.
Don Laverne Nance, who also goes by Don L Nance, was a registered financial professional .
Don is a previously registered financial professional and started their career in finance in 1992. Don had worked at 8 firms and has passed the Series 65, Series 63, Series 7 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
October 4, 2006 - August 14, 2012
INVEST FINANCIAL CORPORATION
September 25, 2006 - August 14, 2012
INVEST FINANCIAL CORPORATION
July 11, 2006 - September 18, 2006
SIGNATOR FINANCIAL SERVICES, INC.
July 7, 2006 - September 18, 2006
SIGNATOR FINANCIAL SERVICES, INC.
April 24, 2006 - July 6, 2006
INVEST FINANCIAL CORPORATION
April 17, 2006 - July 6, 2006
INVEST FINANCIAL CORPORATION
July 15, 2004 - August 26, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 4, 1995 - September 4, 1997
MARINER FINANCIAL SERVICES, INC.
May 2, 1994 - August 26, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 15, 1993 - February 24, 1994
NYLIFE SECURITIES LLC
May 28, 1992 - August 24, 1992
PARAGON CAPITAL MARKETS, INC.
April 10, 1992 - June 17, 1992
FIRST ASSET MANAGEMENT, INC.
February 17, 1992 - April 14, 1992
CHATFIELD DEAN & CO., 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
Current Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
