Nancy S. Banz
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 Sue Banz, who also goes by Nancy Sue Evers, Nancy Sue Mcclure, Nancy Sue Thomson, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1996. Nancy had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2016 - March 17, 2017
THE O.N. EQUITY SALES COMPANY
July 12, 2016 - December 31, 2016
ON INVESTMENT MANAGEMENT CO
May 18, 2015 - August 28, 2015
MML INVESTORS SERVICES, LLC
April 29, 2015 - August 28, 2015
MML INVESTORS SERVICES, LLC
July 30, 2014 - February 12, 2015
VALIC FINANCIAL ADVISORS, INC.
July 30, 2014 - February 12, 2015
VALIC FINANCIAL ADVISORS, INC.
June 11, 2014 - July 11, 2014
WADDELL & REED
June 11, 2014 - July 11, 2014
WADDELL & REED
February 4, 2005 - December 31, 2013
LPL FINANCIAL LLC
February 4, 2005 - December 31, 2013
LPL FINANCIAL LLC
September 19, 2000 - February 7, 2005
MORGAN STANLEY DW INC.
June 14, 1999 - February 7, 2005
MORGAN STANLEY DW INC.
May 16, 1997 - April 8, 1999
CITIGROUP GLOBAL MARKETS INC.
February 23, 1996 - May 28, 1997
COLLIERS SECURITIES 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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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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