Nancy L. Obler Kaufman
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 Lynn Obler Kaufman, who also goes by Nancy Lynn Kaufman, Nancy O Kaufman, Nancy Obler Kaufman, Nancy Lynn Obler, Nancy Lynn Obler-kaufman, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1999. Nancy had worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2009 - February 11, 2021
M.D. SASS SECURITIES, L.L.C.
September 8, 2004 - April 22, 2008
SG AMERICAS SECURITIES, LLC
November 17, 1999 - July 30, 2004
COWEN AND COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/16/2024
General Securities Representative ExaminationCurrent Firm
M.D. SASS SECURITIES, L.L.C.
CRD#: 139760 / SEC#: , 8-67246
Contact information
FINRA licenses (16 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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