Nancy S. Swong
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 Sarang Swong, who also goes by Nancy S Swong, 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, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2010 - January 31, 2013
ANZ SECURITIES, INC.
November 15, 2004 - February 17, 2009
CITIGROUP GLOBAL MARKETS INC.
December 2, 2003 - October 26, 2004
CITICORP INVESTMENT SERVICES
December 2, 2003 - October 26, 2004
CITICORP INVESTMENT SERVICES
June 18, 1999 - December 5, 2001
BANC OF AMERICA SECURITIES LLC
June 12, 1996 - July 17, 1998
LEHMAN BROTHERS INC.
August 24, 1995 - June 21, 1996
TD AMERITRADE, INC.
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
Series 8
Date: 8/12/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ANZ SECURITIES, INC.
CRD#: 36654 / SEC#: , 8-47390
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
