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Nancy A. Effert

ESSEX LLC
Deer Park, IL 60010
Some features on this profile are disabled
CRD#: 4552901
NE

Professional summary

Nancy Ann Effert, who also goes by Nancy Effert, Nancy Effert, Nancy Ann Lyons, Nancy Ann Zagars, is a registered financial advisor currently at ESSEX LLC located in Deer Park, Illinois.

Nancy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Nancy has worked at 11 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nancy Effert | Nancy Effert | Nancy Ann Lyons | Nancy Ann Zagars

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.
EFFERT FINANCIAL SOLUTIONS - DBA, NOT INVESTMENT RELATED; 93 HILLHURST DR, CARY, IL 60013; OWNER; SINCE 10/2006; APX 5 HOURS PER MONTH, ALL OF WHICH ARE DURING TRADING HOURS. NANCY EFFERT (DBA - EFFERT FINANCIAL SOLITIONS); NOT INVESTMENT RELATED; 93 HILLHURST DR, CARY, IL 60013; LIFE INSURANCE AND ANNUITY SALES; INSURANCE AGENT; SINCE 07/2002; APX 4 HOURS PER MONTH ALL OF WHICH ARE DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy Ann Effert's CRS (Customer Relationship Summary).
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 8, 2023 - Present

ESSEX LLC

Office #1: 21805 Field Parkway Suite 340, Deer Park, IL 60010
RIA
CRD#: 108352
Deer Park, IL
Past

October 26, 2020 - September 26, 2023

CREATIVEONE WEALTH, LLC

RIA
CRD#: 281213
Barrington, IL
Past

October 10, 2013 - November 5, 2020

PARTNERVEST ADVISORY SERVICES LLC

RIA
CRD#: 113621
Barrington, IL
Past

January 26, 2010 - October 16, 2013

CROSSROADS ADVISORY GROUP

RIA
CRD#: 148021
CRYSTAL LAKE, IL
Past

October 29, 2009 - October 11, 2011

FINANCIAL ADVISERS OF AMERICA, LLC

RIA
CRD#: 142170
CRYSTAL LAKE, IL
Past

October 8, 2009 - October 11, 2011

FINANCIAL ADVISERS OF AMERICA, LLC

BD
CRD#: 142170
CRYSTAL LAKE, IL
Past

November 14, 2006 - August 17, 2009

MUTUAL SERVICE CORPORATION

RIA
CRD#: 4806
CRYSTAL LAKE, IL
Past

November 14, 2006 - August 17, 2009

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
CRYSTAL LAKE, IL
Past

October 27, 2005 - August 7, 2006

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
LIBERTYVILLE, IL
Past

October 27, 2005 - August 7, 2006

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
LIBERTYVILLE, IL
Past

December 3, 2004 - October 19, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SCHAUMBURG, IL
Past

November 22, 2004 - October 19, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 22, 2003 - November 23, 2004

AMCORE INVESTMENT SERVICES, INC

BD
CRD#: 27708
ROCKFORD, IL
Past

July 18, 2002 - January 2, 2003

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

July 18, 2002 - January 2, 2003

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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".
EL
ESSEX LLC
ESSEX LLC

CRD#: 108352 / SEC#: 801-54274

RIA
Registered Investment Advisory firm - (4/11/1997 Approved)

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
Illinois
(10/8/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/2/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/17/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/17/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

EL
ESSEX LLC
ESSEX LLC

CRD#: 108352 / SEC#: 801-54274

RIA
Registered Investment Advisory firm - (4/11/1997 Approved)
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Contact information

Main Address
21805 Field Parkway Suite 340, Deer Park, IL 60010
Mailing Address
Phone number
(847) 777-7800
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ESSEX, LLC FIRM BROCHURE (4/8/2025)

Regulatory assets under management

Total Number of Accounts2,112
AUM (Assets Under Management)$ 563,083,517

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.

Company Information

ESSEX LLC

CRD#: 108352Deer Park, IL 60010

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