Nancy T. Weiss
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 Tina Weiss, who also goes by Nancy T Dinardo, Nancy Tina Dinardo, Nancy Dinardo, Nancy T Esposito, Nancy Tina Esposito, Nancy Esposito, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1997. Nancy had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2021 - April 21, 2025
FIDELITY BROKERAGE SERVICES LLC
July 21, 2016 - August 12, 2021
OPPENHEIMER & CO. INC.
May 18, 2015 - May 27, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 15, 2014 - December 23, 2014
NEW ENGLAND SECURITIES
January 31, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 31, 2005 - December 23, 2014
MSI FINANCIAL SERVICES, INC.
May 12, 2004 - December 16, 2004
UBS FINANCIAL SERVICES INC.
August 26, 1997 - May 7, 2004
RAYMOND JAMES & ASSOCIATES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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