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NM

Nancy Maisto

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CRD#: 2580089
NM

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 Maisto, who also goes by Nancy Maisto Pimpinella, Nancy Maisto, was a registered financial professional .

Nancy is a previously registered financial professional and started their career in finance in 1995. Nancy had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nancy Maisto Pimpinella | Nancy Maisto

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 25, 2018 - March 10, 2020

FELDSTEIN FINANCIAL GROUP, LLC

BD
CRD#: 113988
BASKING RIDGE, NJ
Past

February 27, 2017 - May 12, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
BROOKLYN, NY
Past

March 13, 2014 - February 27, 2015

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
NEW YORK, NY
Past

February 25, 2011 - February 9, 2012

SAFRA SECURITIES LLC

BD
CRD#: 47873
NEW YORK, NY
Past

May 21, 2010 - January 11, 2011

GILFORD FINANCIAL CORP.

RIA
CRD#: 126593
NEW YORK, NY
Past

May 20, 2010 - January 11, 2011

BARRETT SECURITIES INC.

BD
CRD#: 47534
NEW YORK, NY
Past

May 17, 2010 - January 11, 2011

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

July 10, 2006 - March 29, 2010

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
TAMPA, FL
Past

June 9, 2004 - March 29, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

April 17, 2003 - June 14, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

August 11, 1995 - April 21, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/1/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/18/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/25/1995
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/11/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/20/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/16/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

FF
FELDSTEIN FINANCIAL GROUP, LLC
FELDSTEIN FINANCIAL GROUP, LLC

CRD#: 113988 / SEC#: , 8-53388

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
1 Shadowbrook Lane, Basking Ridge, NJ 07920
Mailing Address
1 Shadowbrook Lane, Basking Ridge, NJ 07920
Phone number
(908) 879-9559
Established
New Jersey since 10/04/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FELDSTEIN, STEVENPRESIDENT, CCO, AMLCO, ROSFP & MUNICIPAL PRINCIPAL1402510
APPELSON, STUART DAVIDFINOP2176520

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

FELDSTEIN FINANCIAL GROUP, LLC

CRD#: 113988

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