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NW

Nancy E. Wertheimer

WORLD FINANCIAL ASSETS ADVISORY
Baltimore, MD
Some features on this profile are disabled
CRD#: 2462747
NW

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.

BD
CRD#: 20068
PHOENIX, AZ
Past

March 28, 1994 - October 20, 1994

GUARDIAN INVESTOR SERVICES LLC

BD
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)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/29/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/21/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 3/25/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WF
WORLD FINANCIAL ASSETS ADVISORY
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
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts2
AUM (Assets Under Management)$ 4,300,000

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.

Company Information

WORLD FINANCIAL ASSETS ADVISORY

CRD#: 122363Baltimore, MD

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