Nancy Ann Effert
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nancy Effert, Nancy Effert, Nancy Ann Lyons, Nancy Ann Zagars
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
ESSEX LLC
Contact Information
Main Address
21805 Field Parkway Suite 340, Deer Park, IL 60010Phone Number
(847) 777-7800# of Employees
9SEC notice filing (17 States and Territories)
Registered to provide investment advisory services in 17 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,294AUM (Assets Under Management)
$649,327,632Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ESSEX LLC
State Registrations and Notice Filings
(10/8/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2002About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Nancy Ann Effert's CRS (Customer Relationship Summary).
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