Nancie A. Dupier
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.
Nancie Allison Dupier, who also goes by Nancie Dupier, was a registered financial professional .
Nancie is a previously registered financial professional and started their career in finance in 1999. Nancie had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2015 - November 2, 2018
FIRST LIBERTIES FINANCIAL
November 29, 2007 - March 22, 2013
HSBC SECURITIES (USA) INC.
February 28, 2006 - March 22, 2013
HSBC SECURITIES (USA) INC.
January 2, 2003 - February 25, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 18, 2002 - February 25, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 23, 1999 - January 28, 2002
J.P. MORGAN SECURITIES 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
Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 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.
