Nancy E. Paxton
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 Elizabeth Paxton, who also goes by Nancy Paxton, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1994. Nancy had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - January 4, 2016
BLACKROCK INVESTMENTS, LLC
November 5, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
May 24, 2006 - January 4, 2016
BLACKROCK FUND ADVISORS
May 24, 2006 - December 31, 2009
BLACKROCK EXECUTION SERVICES
October 13, 2000 - April 10, 2006
CHARLES SCHWAB & CO., INC.
December 23, 1997 - July 17, 2000
CBIS FINANCIAL SERVICES, INC.
September 24, 1996 - December 3, 1997
SIGNATURE BROKER-DEALER SERVICES, INC.
June 10, 1994 - February 17, 1995
MORGAN STANLEY DW 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 8
Date: 6/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BLACKROCK INVESTMENTS, LLC
CRD#: 38642 / SEC#: , 8-48436
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK FINANCIAL MANAGEMENT, INC | SOLE SHAREHOLDER | 107105 |
| DEVICO, JOSEPH GEORGE | MANAGER | 2808563 |
| HEROLD, MEREDITH L | MANAGER | 4792340 |
| MARCUS, ZACHARY SETH | CHIEF FINANCIAL OFFICER AND FINOP | 7040433 |
| MARO, JONATHAN MARTIN | CHIEF EXECUTIVE OFFICER AND MANAGER | 6476640 |
| MEADE, CHRISTOPHER JOSEPH | CHIEF LEGAL OFFICER | 6728448 |
| ROHE, DOMINIK | MANAGER | 3275040 |
| ROSTA, GREGORY MATTHEW | CHIEF COMPLIANCE OFFICER | 5193482 |
| RZOMP, CYNTHIA SUEN-WAH | CHIEF OPERATING OFFICER | 5221316 |
| VILLACORTA, ROLAND ESTEBAN | MANAGER | 2566073 |
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.
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