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NE

Nancy L. Edwards

Some features on this profile are disabled
CRD#: 2939652
NE

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 Lee Edwards was a registered financial professional .

Nancy is a previously registered financial professional and started their career in finance in 1997. Nancy had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

October 31, 2018 - January 10, 2022

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
San Antonio, TX
Past

October 31, 2018 - January 10, 2022

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
SAN ANTONIO, TX
Past

July 7, 2010 - May 1, 2018

KMS FINANCIAL SERVICES, INC.

RIA
CRD#: 3866
Austin, TX
Past

July 7, 2010 - May 1, 2018

KMS FINANCIAL SERVICES, INC.

BD
CRD#: 3866
SEATTLE, WA
Past

June 1, 2009 - September 16, 2009

MORGAN STANLEY

RIA
CRD#: 149777
BELLEVUE, WA
Past

June 1, 2009 - September 16, 2009

MORGAN STANLEY

BD
CRD#: 149777
BELLEVUE, WA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
BELLEVUE, WA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
BELLEVUE, WA
Past

February 20, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BELLEVUE, WA
Past

October 4, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
BELLEVUE, WA
Past

September 12, 1997 - December 8, 1998

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AL
ALLIANCEBERNSTEIN L.P.
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA
Registered Investment Advisory firm - (8/13/1999 Approved)

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: 9/30/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/18/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/24/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 10/6/1997
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/11/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/24/2024
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/24/2024
General Securities Sales Supervisor - Options Module Examination

Current Firm

AL
ALLIANCEBERNSTEIN L.P.
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.

CRD#: 108477 / SEC#: 801-56720

RIA
Registered Investment Advisory firm - (8/13/1999 Approved)
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Contact information

Main Address
501 Commerce Street, Nashville, TN 37203
Mailing Address
Phone number
(615) 622-0000
Established
Firm type
Fiscal year end
# of Employees
3,994

SEC notice filing (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT FORM ADV BROCHURE (3/28/2025)
INSTITUTIONAL FORM ADV BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts68,593
AUM (Assets Under Management)$ 709,162,000,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/25/2024
Cover Page
Report
10/27/2023
Cover Page
Report

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

ALLIANCEBERNSTEIN L.P.

CRD#: 108477

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