Nancy E. Wertheimer

WORLD FINANCIAL ASSETS ADVISORY

Baltimore, MD

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CRD#: 2462747

Professional summary

Nancy E Wertheimer is a registered financial advisor currently at WORLD FINANCIAL ASSETS ADVISORY located in Baltimore, Maryland.

Nancy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Nancy has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy E Wertheimer's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 5, 2022 - Present

WORLD FINANCIAL ASSETS ADVISORY

RIA

CRD#: 122363

Baltimore, MD

Past

October 18, 1994 - March 30, 1995

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

March 28, 1994 - October 20, 1994

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maryland
(4/5/2022)

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Exams

State Security Law Exam

IAR

Series 65

Date: 9/29/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/21/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/25/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WORLD FINANCIAL ASSETS ADVISORY

CRD#: 122363 / SEC#:

Maryland

Registered Investment Advisory firm - (3/9/2011 Approved)

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Contact information

Main Address

Baltimore, MD

Mailing Address

Post Office Box 65130, Baltimore, MD 21209

Phone number

(410) 685-0700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 4,300,000

Red Flags

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Nancy E. Wertheimer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy E Wertheimer's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORLD FINANCIAL ASSETS ADVISORY

SUNAMERICA SECURITIES, INC.

GUARDIAN INVESTOR SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/29/1994

Series 63

Date: 4/21/1994

Series 6

Date: 3/25/1994

Current Firm

WORLD FINANCIAL ASSETS ADVISORY

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WORLD FINANCIAL ASSETS ADVISORY

TRUST BUT VERIFY

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