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Nancy Maisto

CRD# 2580089·Registered 1995 - 2020
Previously Registered: Being a previously registered professional could mean that Nancy 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.

Professional Summary

Nancy Maisto, who also goes by Nancy Maisto Pimpinella, Nancy Maisto, was a registered financial advisor. Nancy was a previously registered financial professional and started their career in finance 1995 - 2020. 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.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Nancy Maisto Pimpinella, Nancy Maisto

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

FELDSTEIN FINANCIAL GROUP, LLC·CRD# 113988
BD
Basking Ridge, NJ
July 25, 2018 - March 10, 2020
MML INVESTORS SERVICES, LLC·CRD# 10409
BD
Brooklyn, NY
February 27, 2017 - May 12, 2017
MUTUAL OF OMAHA INVESTOR SERVICES, INC.·CRD# 611
BD
New York, NY
March 13, 2014 - February 27, 2015
SAFRA SECURITIES LLC·CRD# 47873
BD
New York, NY
February 25, 2011 - February 9, 2012
GILFORD FINANCIAL CORP.·CRD# 126593
RIA
New York, NY
May 21, 2010 - January 11, 2011
BARRETT SECURITIES INC.·CRD# 47534
BD
New York, NY
May 20, 2010 - January 11, 2011
GILFORD SECURITIES INCORPORATED·CRD# 8076
BD
New York, NY
May 17, 2010 - January 11, 2011
GUNNALLEN FINANCIAL, INC·CRD# 17609
RIA
Tampa, FL
July 10, 2006 - March 29, 2010
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Tampa, FL
June 9, 2004 - March 29, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694
BD
St. Petersburg, FL
April 17, 2003 - June 14, 2004
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
August 11, 1995 - April 21, 2003

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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)

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

FINRA licenses (7 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 1995About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1995About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 31 — Futures Managed Funds Examination

Passed Aug 1995About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Aug 1995About the Series 7 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Dec 2000About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Dec 2000About the Series 9 exam

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CRS (Client Relationship Summary)

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

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