Nancy D. Smith

QUADRATIC CAPITAL MANAGEMENT LLC

Greenwich, CT 06830

Some features on this profile are disabled

CRD#: 3218528

Professional summary

Nancy Davis Smith, who also goes by Nancy Rae Davis, Nancy Davis, Nancy Rae Smith, is a registered financial advisor currently at QUADRATIC CAPITAL MANAGEMENT LLC located in Greenwich, Connecticut.

Nancy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Nancy has worked at 2 firms and has passed the Series 65, Series 63, Series 3, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nancy Rae Davis | Nancy Davis | Nancy Rae Smith

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) - RIA

Click below to view Nancy Davis Smith'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®

None

Experience

Current

October 14, 2014 - Present

QUADRATIC CAPITAL MANAGEMENT LLC

Office #1: 39 Lewis Street 4th Floor, Greenwich, CT 06830

RIA

CRD#: 172768

Greenwich, CT

Past

June 29, 1999 - February 7, 2008

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, 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".

QUADRATIC CAPITAL MANAGEMENT LLC

CRD#: 172768 / SEC#: 801-106485

RIA

Registered Investment Advisory firm - (8/20/2015 Approved)

Connecticut

Registered Investment Advisory firm - (8/25/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(10/14/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/30/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/15/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 2/12/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/28/1999

General Securities Representative Examination

Current Firm

QUADRATIC CAPITAL MANAGEMENT LLC

CRD#: 172768 / SEC#: 801-106485

RIA

Registered Investment Advisory firm - (8/20/2015 Approved)

Connecticut

Registered Investment Advisory firm - (8/25/2015 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

39 Lewis Street 4th Floor, Greenwich, CT 06830

Mailing Address

Phone number

(203) 340-2943

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 468,965,213

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Brian Marchini

LPL ENTERPRISE, LLC

IAR

White Plains, NY

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nancy D. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy Davis Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

QUADRATIC CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2014

Series 63

Date: 4/10/2000

Series 3

Date: 11/15/2014

Series 55

Date: 2/12/2001

Series 7

Date: 6/28/1999

Current Firm

QUADRATIC CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

QUADRATIC CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors