Nancy J. Overton

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CRD#: 354496

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 Jane Overton was a registered financial professional .

Nancy is a previously registered financial professional and started their career in finance in 1974. Nancy had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 5 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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 4, 2018 - December 31, 2025

TOTAL WEALTH PLANNING AND MANAGEMENT, INC.

RIA

CRD#: 166664

PONTE VEDRA, FL

Past

December 9, 2016 - June 21, 2017

OAKSHORE PARTNERS, LLC

RIA

CRD#: 285727

JACKSONVILLE, FL

Past

April 22, 2016 - May 18, 2016

CALTON & ASSOCIATES, INC.

CRD#: 20999

Jacksonville, FL

Past

September 13, 2013 - February 26, 2016

MUTUAL SECURITIES, INC.

CRD#: 13092

JACKSONVILLE, FL

Past

December 3, 2012 - November 23, 2018

BEVERLY HILLS WEALTH MANAGEMENT, LLC

RIA

CRD#: 152031

BEVERLY HILLS, CA

Past

November 10, 2010 - October 10, 2012

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

JACKSONVILLE, FL

Past

October 14, 2010 - October 10, 2012

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

JACKSONVILLE, FL

Past

June 1, 2009 - October 22, 2010

MORGAN STANLEY

RIA

CRD#: 149777

JACKSONVILLE, FL

Past

June 1, 2009 - October 22, 2010

MORGAN STANLEY

CRD#: 149777

JACKSONVILLE, FL

Past

October 25, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

JACKSONVILLE, FL

Past

October 11, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

JACKSONVILLE, FL

Past

January 1, 1991 - October 11, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

JACKSONVILLE, FL

Past

November 25, 1986 - October 11, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 20, 1986 - December 1, 1986

JOHNSON, LANE, SPACE, SMITH & CO., INC.

CRD#: 472

Past

February 8, 1985 - January 29, 1986

SEARS. THOMPSON INVESTMENT GROUP, INC.

CRD#: 7351

Past

February 24, 1978 - January 15, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

Past

January 1, 1974 - February 24, 1978

REYNOLDS SECURITIES, INC.

CRD#: 712

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".

TOTAL WEALTH PLANNING AND MANAGEMENT, INC.

TOMES WEALTH PLANNING AND MANAGEMENT, INC. | TOTAL WEALTH PLANNING AND MANAGEMENT, INC.

CRD#: 166664 / SEC#: 801-113167

RIA

Registered Investment Advisory firm - (5/3/2018 Approved)

California

Registered Investment Advisory firm - (6/3/2018 Terminated)

Florida

Registered Investment Advisory firm - (5/4/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (5/25/2018 Terminated)

New York

Registered Investment Advisory firm - (5/4/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/7/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2018 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 6/22/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/22/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/24/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 12/15/1973

Registered Representative Examination

Current Firm

TOTAL WEALTH PLANNING AND MANAGEMENT, INC.

TOMES WEALTH PLANNING AND MANAGEMENT, INC. | TOTAL WEALTH PLANNING AND MANAGEMENT, INC.

CRD#: 166664 / SEC#: 801-113167

RIA

Registered Investment Advisory firm - (5/3/2018 Approved)

California

Registered Investment Advisory firm - (6/3/2018 Terminated)

Florida

Registered Investment Advisory firm - (5/4/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (5/25/2018 Terminated)

New York

Registered Investment Advisory firm - (5/4/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/7/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/4/2018 Terminated)

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Contact information

Main Address

Ponte Vedra, FL

Mailing Address

Po Box 859, Ponte Vedra Beach, FL 32004

Phone number

(866) 568-0003

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A WRAP FEE (12/26/2025)

ADV PART 2A (3/4/2025)

Regulatory assets under management

Total Number of Accounts	1,264
AUM (Assets Under Management)	$ 203,935,965

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Nancy J. Overton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OAKSHORE PARTNERS, LLC

CALTON & ASSOCIATES, INC.

MUTUAL SECURITIES, INC.

BEVERLY HILLS WEALTH MANAGEMENT, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

JOHNSON, LANE, SPACE, SMITH & CO., INC.

SEARS. THOMPSON INVESTMENT GROUP, INC.

MORGAN STANLEY DW INC.

REYNOLDS SECURITIES, INC.

Primary Firm SEC Registration

TOTAL WEALTH PLANNING AND MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/22/2011

Series 63

Date: 10/22/1982

SIE

Date: 5/18/2016

Series 31

Date: 6/24/1993

Series 5

Date: 12/11/1982

Series 1

Date: 12/15/1973

Current Firm

TOTAL WEALTH PLANNING AND MANAGEMENT, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOTAL WEALTH PLANNING AND MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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