Nancy A. Vargo
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 Arnett Vargo, who also goes by Nancy Lynn Arnett, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1993. Nancy had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 28 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
January 10, 2014 - February 10, 2015
MEEDER DISTRIBUTION SERVICES, INC.
May 29, 2008 - May 23, 2012
CAPITAL CITY SECURITIES, LLC
March 15, 2000 - October 9, 2008
REGIS SECURITIES CORPORATION
December 20, 1996 - March 20, 2000
QUANTUM CAPITAL CORPORATION
April 5, 1995 - December 16, 1996
THE HAMILTON-SHEA GROUP, INC.
October 20, 1993 - January 5, 1995
OMNI FINANCIAL SECURITIES, 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 28
Date: 3/10/1994
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MEEDER DISTRIBUTION SERVICES, INC.
CRD#: 36773 / SEC#: , 8-47374
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
