Nancy E. Cole
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 Ellen Cole, who also goes by Nancy Ellen Hall, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1997. Nancy had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2008 - May 22, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
August 28, 2008 - May 22, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
August 7, 2006 - September 2, 2008
FIRST ALLIED SECURITIES, INC.
July 17, 2006 - September 2, 2008
FIRST ALLIED SECURITIES, INC.
April 21, 2003 - July 17, 2006
INVESTORS RESOURCES GROUP, INC.
December 12, 2002 - April 23, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
August 24, 1998 - December 4, 2002
MORGAN STANLEY DW INC.
July 17, 1997 - December 4, 2002
MORGAN STANLEY DW 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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
