Nancy K. Brooks
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 Kingery Brooks, who also goes by Nancy Kingery Hearn, Nancy Lee Kingery, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1993. Nancy had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4, Series 53 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
March 12, 2013 - January 30, 2017
CUNA BROKERAGE SERVICES, INC.
March 12, 2013 - January 30, 2017
CUNA BROKERAGE SERVICES, INC.
June 22, 2005 - April 1, 2011
FIRST HORIZON ADVISORS, INC.
June 17, 2005 - April 1, 2011
FIRST HORIZON ADVISORS, INC.
February 18, 2004 - May 24, 2005
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
February 14, 2000 - May 20, 2005
AMSOUTH INVESTMENT SERVICES, INC.
November 2, 1998 - February 14, 2000
INVEST FINANCIAL CORPORATION
April 4, 1997 - November 25, 1998
PIONEER SECURITIES, INC.
September 9, 1996 - August 27, 1997
MM ASCEND LIFE INVESTOR SERVICES, LLC
May 25, 1994 - May 17, 1995
NBC CAPITAL MARKETS GROUP, INC.
June 11, 1993 - May 24, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 11, 1993 - May 24, 1994
OSAIC FA, 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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
