NL
Nancy L. Lewis
FIDELITY BROKERAGE SERVICES LLC
Westlake, TX 76262
Some features on this profile are disabled
CRD#: 2975999
NL
Professional summary
Nancy Lynn Lewis, who also goes by Nancy Lynn Lewis, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Nancy is registered as a RR (Registered Representative) and started their career in finance in 1997. Nancy has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nancy Lynn Lewis
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.
CRS (Client Relationship Summary) - BD
Click below to view Nancy Lynn Lewis's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 19, 2010 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262BD
CRD#: 7784
Westlake, TX
Past
December 19, 2008 - March 12, 2010
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ADDISON, TX
Past
December 19, 2008 - March 12, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
ADDISON, TX
Past
April 2, 2007 - December 23, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
PLANO, TX
Past
April 2, 2007 - December 23, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PLANO, TX
Past
November 30, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
PLANO, TX
Past
November 30, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PLANO, TX
Past
May 16, 2003 - January 8, 2004
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
CARROLLTON, TX
Past
May 16, 2003 - January 8, 2004
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
August 8, 2000 - April 22, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
IRVING, TX
Past
August 8, 2000 - April 22, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 1, 1997 - June 6, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/19/2010)
RR
Alaska(5/19/2010)
RR
Arizona(5/19/2010)
RR
Arkansas(5/19/2010)
RR
California(5/19/2010)
RR
Colorado(5/19/2010)
RR
Connecticut(5/19/2010)
RR
Delaware(5/19/2010)
RR
District of Columbia(5/19/2010)
RR
Florida(5/19/2010)
RR
Georgia(5/19/2010)
RR
Hawaii(5/19/2010)
RR
Idaho(5/19/2010)
RR
Illinois(5/19/2010)
RR
Indiana(5/19/2010)
RR
Iowa(5/19/2010)
RR
Kansas(5/19/2010)
RR
Kentucky(5/19/2010)
RR
Louisiana(5/19/2010)
RR
Maine(5/19/2010)
RR
Maryland(5/19/2010)
RR
Massachusetts(5/19/2010)
RR
Michigan(5/19/2010)
RR
Minnesota(5/19/2010)
RR
Mississippi(5/19/2010)
RR
Missouri(5/19/2010)
RR
Montana(5/19/2010)
RR
Nebraska(5/19/2010)
RR
Nevada(5/19/2010)
RR
New Hampshire(5/19/2010)
RR
New Jersey(5/19/2010)
RR
New Mexico(5/19/2010)
RR
New York(5/19/2010)
RR
North Carolina(5/19/2010)
RR
North Dakota(5/19/2010)
RR
Ohio(5/19/2010)
RR
Oklahoma(5/19/2010)
RR
Oregon(5/19/2010)
RR
Pennsylvania(5/19/2010)
RR
Rhode Island(5/19/2010)
RR
South Carolina(5/19/2010)
RR
South Dakota(5/19/2010)
RR
Tennessee(5/19/2010)
RR
Texas(5/19/2010)
RR
Utah(5/19/2010)
RR
Vermont(5/19/2010)
RR
Virginia(5/19/2010)
RR
Washington(5/19/2010)
RR
West Virginia(5/19/2010)
RR
Wisconsin(5/19/2010)
RR
Wyoming(5/19/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
CRD#: 7784 / SEC#: , 8-23292
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
