Nancy K. Levelsmier
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 K Levelsmier, who also goes by Nancy Kay Levelsmier, Nancy Kaye Levelsmier, Nancy K Workman, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1995. Nancy had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2011 - March 27, 2017
MORGAN STANLEY
October 28, 2011 - March 27, 2017
MORGAN STANLEY
November 30, 2009 - October 31, 2011
MORGAN KEEGAN & COMPANY, LLC
November 20, 2009 - October 31, 2011
MORGAN KEEGAN & COMPANY, LLC
August 31, 2006 - December 15, 2009
SCOTT & STRINGFELLOW, LLC
August 23, 2006 - December 15, 2009
SCOTT & STRINGFELLOW, LLC
April 22, 2003 - April 27, 2006
WELLS FARGO CLEARING SERVICES, LLC
March 6, 2002 - April 27, 2006
WELLS FARGO CLEARING SERVICES, LLC
February 14, 2000 - March 7, 2002
WACHOVIA SECURITIES, INC.
November 3, 1998 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
January 31, 1995 - July 14, 1997
WACHOVIA BROKERAGE SERVICE
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
