Nancy J. Engberg
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 Jean Engberg was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 2004. Nancy had worked at 3 firms and has passed the SIE, Series 7 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
April 14, 2004 - April 6, 2006
PXP SECURITIES CORP.
February 12, 2004 - November 15, 2004
WS GRIFFITH SECURITIES, INC.
February 12, 2004 - July 5, 2022
VP DISTRIBUTORS LLC
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
PXP SECURITIES CORP.
CRD#: 22898 / SEC#: , 8-40035
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PHOENIX INVESTMENT PARTNERS, LTD. | SHAREHOLDER | |
| BEERS, JOHN HENRY | VICE PRESIDENT AND SECRETARY | 3255701 |
| HAYLON, MICHAEL EDWARD | DIRECTOR | 1884528 |
| MARTIN, DAVID CAMBRIDGE | CHIEF COMPLIANCE OFFICER | 1466549 |
| SOKOLOSKY, CHESTER JOHN SAMUEL | FINANCIAL AND OPERATIONS PRINCIPAL | 2021913 |
| WALTMAN, FRANCIS GEORGE | PRESIDENT | 1778566 |
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.
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