Nancy E. Stewart
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 Ellen Stewart, who also goes by Nancy Ellen Hambling, Nancy Ellen Kirkpatrick, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1993. Nancy had worked at 8 firms and has passed the Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2012 - March 12, 2013
APW CAPITAL, INC.
May 12, 2009 - May 18, 2010
EQUITY SERVICES, INC.
August 1, 2008 - April 9, 2009
NATIONWIDE SECURITIES, LLC
October 29, 1998 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
February 2, 1998 - September 11, 1998
GUARDIAN INVESTOR SERVICES LLC
May 26, 1994 - November 11, 1996
ROBERT W. BAIRD & CO. INCORPORATED
May 26, 1994 - November 11, 1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 27, 1993 - January 3, 1994
HORNOR, TOWNSEND & KENT, LLC
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
APW CAPITAL, INC.
CRD#: 43814 / SEC#: , 8-50433
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
