Nancy E. Wakefield

SERENE POINT ADVISORS LLC

Lake Oswego, OR

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CRD#: 4592281

Professional summary

Nancy E Wakefield, who also goes by Nancy E Nugent, Nancy Ellen Wakefield, is a registered financial advisor currently at SERENE POINT ADVISORS LLC located in Lake Oswego, Oregon.

Nancy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Nancy has worked at 8 firms and has passed the Series 66, Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nancy E Nugent | Nancy Ellen Wakefield

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) - RIA

Click below to view Nancy E Wakefield's 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

September 15, 2020 - Present

SERENE POINT ADVISORS LLC

RIA

CRD#: 309433

Lake Oswego, OR

Past

November 7, 2017 - November 2, 2020

INTEGRATED ADVISORS NETWORK LLC

RIA

CRD#: 171991

LAKE OSWEGO, OR

Past

June 30, 2017 - November 1, 2017

MARTIN CAPITAL PARTNERS, LLC

RIA

CRD#: 153452

EUGENE, OR

Past

September 23, 2013 - December 31, 2016

MARTIN CAPITAL PARTNERS, LLC

RIA

CRD#: 153452

EUGENE, OR

Past

September 9, 2008 - January 3, 2013

TD AMERITRADE, INC.

RIA

CRD#: 7870

PORTLAND, OR

Past

September 9, 2008 - January 3, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

PORTLAND, OR

Past

September 9, 2008 - January 3, 2013

TD AMERITRADE, INC.

CRD#: 7870

PORTLAND, OR

Past

February 27, 2006 - August 7, 2008

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SEATTLE, WA

Past

June 17, 2004 - August 7, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SEATTLE, WA

Past

June 2, 2004 - December 16, 2004

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SAN FRANCISCO, CA

Past

January 8, 2001 - May 3, 2004

WEALTH ADVISORS, LLC

RIA

CRD#: 108769

LAKE OSWEGO, OR

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

California
(4/19/2023)

IAR

Oregon
(9/15/2020)

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: 1/23/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/25/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/13/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 6/16/2004

General Securities Representative Examination

Current Firm

SERENE POINT ADVISORS LLC

CRD#: 309433 / SEC#:

California

Registered Investment Advisory firm - (4/19/2023 Approved)

Oregon

Registered Investment Advisory firm - (9/15/2020 Approved)

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Contact information

Main Address

Lake Oswego, OR

Mailing Address

P.o. Box 45, Lake Oswego, OR 97034

Phone number

(503) 360-9550

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	121
AUM (Assets Under Management)	$ 30,815,674

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.

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Firm Stability Insights

Nancy E. Wakefield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nancy E Wakefield's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRATED ADVISORS NETWORK LLC

MARTIN CAPITAL PARTNERS, LLC

MARTIN CAPITAL PARTNERS, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

STRATEGIC ADVISERS LLC

WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/23/2006

Series 63

Date: 6/25/2004

Series 65

Date: 11/13/2000

Series 7

Date: 6/16/2004

Current Firm

SERENE POINT ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SERENE POINT ADVISORS LLC

TRUST BUT VERIFY

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