Nancy C. Reach
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 Carol Reach, who also goes by Nancy Carol Brock, Nancy Carol Milly, Reach Milly, Nancy C. Reach, Nancy Reach, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1994. Nancy had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2011 - April 21, 2015
TRUIST INVESTMENT SERVICES, INC.
June 14, 2011 - April 21, 2015
TRUIST INVESTMENT SERVICES, INC.
November 12, 2009 - July 2, 2010
PRUCO SECURITIES, LLC.
October 5, 2009 - July 2, 2010
PRUCO SECURITIES, LLC.
March 20, 2009 - April 3, 2009
FARMERS FINANCIAL SOLUTIONS, LLC
October 9, 2007 - December 10, 2007
UBS FINANCIAL SERVICES INC.
October 9, 2007 - December 10, 2007
UBS FINANCIAL SERVICES INC.
August 13, 2004 - January 12, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
July 28, 2004 - January 12, 2007
AMSOUTH INVESTMENT SERVICES, INC.
May 17, 2002 - February 26, 2003
CHARLES SCHWAB & CO., INC.
April 25, 2002 - February 21, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2000 - April 25, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 1994 - February 17, 2000
THE ROBINSON-HUMPHREY COMPANY, 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
TRUIST INVESTMENT SERVICES, INC.
CRD#: 17499 / SEC#: 801-56443, 8-35355
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | HOLDING COMPANY | |
| CALLENDER, EVELYN MICHELLE | TREASURER AND CHIEF FINANCIAL OFFICER | 7591739 |
| CENTENO, PATRICIA REED | DEPUTY CHIEF COMPLIANCE OFFICER | 2239528 |
| COBBS, JENI RACHEL | COMPLIANCE OFFICER | 4354424 |
| CRAM, BRYAN SCOTT | VICE CHAIRMAN/EXECUTIVE VICE PRESIDENT | 2723431 |
| DOWHOWER, BRIAN SEAN | CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | 4202574 |
| DUNN, JEFFREY TODD | DIRECTOR/EXECUTIVE VICE PRESIDENT | 4228631 |
| HECHTLINGER, SUSAN | DIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | 2890466 |
| MAVICO, CECILIA BAUTE | SENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY | 3261303 |
| NORMAN, ANNMARIE CARROLL | COMPLIANCE OFFICER | 2993726 |
| TYSON, TONYA | CHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY | 1987448 |
| WEHINGER, LEAH ROWE | DIRECTOR/EXECUTIVE VICE PRESIDENT | 1719505 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 14 |
| Bond | 2 |
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.
