Nanci B. Lotvin
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.
Nanci Beth Lotvin, who also goes by Nanci Lotvin, was a registered financial professional .
Nanci is a previously registered financial professional and started their career in finance in 1993. Nanci had worked at 14 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 27 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 12, 2019 - June 30, 2021
BENJAMIN SECURITIES, INC.
April 22, 2014 - January 30, 2018
INTERNATIONAL ASSETS ADVISORY, LLC
July 17, 2013 - January 13, 2015
IAA FINANCIAL LLC
September 4, 2012 - July 1, 2013
C.K. COOPER & COMPANY, INC.
December 6, 2011 - August 24, 2012
EKN FINANCIAL SERVICES INC.
September 18, 2008 - September 21, 2011
MSI FINANCIAL SERVICES, INC.
April 19, 2005 - May 15, 2008
SANDGRAIN SECURITIES LLC
August 29, 2003 - November 1, 2004
EARLYBIRDCAPITAL, INC.
March 31, 2003 - July 25, 2003
LADENBURG THALMANN & CO. INC.
October 27, 1999 - July 15, 2003
WINDSOR CAPITAL ADVISORS, LLC
April 20, 1998 - October 29, 1999
BLUESTONE CAPITAL CORP.
December 8, 1994 - April 23, 1998
GKN SECURITIES CORP.
September 26, 1994 - November 23, 1994
CITIGROUP GLOBAL MARKETS INC.
March 22, 1993 - July 28, 1994
D. H. BLAIR & CO., INC.
Primary Firm SEC Registration
BENJAMIN SECURITIES, INC.
CRD#: 7754 / SEC#: 801-30987, 8-23518
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 12/13/1999
Limited Representative-Equity Trader ExamCurrent Firm
BENJAMIN SECURITIES, INC.
CRD#: 7754 / SEC#: 801-30987, 8-23518
Contact information
SEC notice filing (4 States and Territories)
FINRA licenses (33 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 68 |
| AUM (Assets Under Management) | $ 33,609,905 |
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.
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