Nancy E Wakefield
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nancy E Nugent, Nancy Ellen Wakefield
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
SERENE POINT ADVISORS LLC
Contact Information
Main Address
Lake Oswego, ORMailing Address
P.o. Box 45, Lake Oswego, OR 97034Phone Number
(503) 360-9550# of Employees
2Documents
Regulatory Assets Under Management
Total Number of Accounts
115AUM (Assets Under Management)
$32,943,754Similar Advisors
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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.
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State Registrations and Notice Filings
(4/19/2023)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Nancy E Wakefield's CRS (Customer Relationship Summary).
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