Nancy L. Swift
Professional summary
Nancy L. Swift, who also goes by Nancy Lee Friedman, Nancy Lee Swift, Nancy Swift, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in New York City, New York and GREEN PIER FINTECH LLC located in New York City, New York.
Nancy is registered as a RR (Registered Representative) and started their career in finance in 2007. Nancy has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nancy L. Swift's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 640 Fifth Avenue, New York City, NY 10019February 11, 2022 - Present
GREEN PIER FINTECH LLC
Office #1: 640 Fifth Avenue, New York City, NY 10019February 11, 2022 - Present
DIGITAL BROKERAGE SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210February 11, 2022 - Present
FIDELITY PRIME FINANCING
Office #1: 640 Fifth Avenue, New York City, NY 10019February 11, 2022 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 640 Fifth Avenue, New York City, NY 10019February 11, 2022 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 640 Fifth Avenue, New York City, NY 10019August 29, 2017 - October 9, 2020
WELLS FARGO CLEARING SERVICES, LLC
November 6, 2014 - July 31, 2017
WELLS FARGO SECURITIES, LLC
April 23, 2008 - August 20, 2014
DEUTSCHE BANK SECURITIES INC.
February 28, 2007 - August 20, 2014
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/8/2021)
Exams
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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