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ND

Nancy A. Darby

ARES MANAGEMENT CAPITAL MARKETS LLC
NEW YORK, NY 10167
Some features on this profile are disabled
CRD#: 5170672
ND

Professional summary

Nancy Ann Darby, who also goes by Nancy Ann Longo, Nancy D. Phillips, is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in New York, New York.

Nancy is registered as a RR (Registered Representative) and started their career in finance in 2007. Nancy has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nancy Ann Longo | Nancy D. Phillips

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) - BD

Click below to view Nancy Ann Darby'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

August 22, 2018 - Present

ARES MANAGEMENT CAPITAL MARKETS LLC

Office #1: 245 Park Avenue - 44th Floor, New York, NY 10167
BD
CRD#: 166219
NEW YORK, NY
Past

February 27, 2017 - January 31, 2018

ARES MANAGEMENT CAPITAL MARKETS LLC

BD
CRD#: 166219
NEW YORK, NY
Past

December 23, 2013 - June 18, 2015

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
NEW YORK, NY
Past

September 10, 2013 - June 18, 2015

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

April 20, 2011 - September 6, 2013

NYLIFE SECURITIES LLC

BD
CRD#: 5167
SLEEPY HOLLOW, NY
Past

March 7, 2011 - September 5, 2013

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
SLEEPY HOLLOW, NY
Past

October 18, 2010 - December 16, 2010

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

August 17, 2007 - August 26, 2010

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
STAMFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(8/22/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/18/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/1/2015
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/31/2013
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/4/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Mailing Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Phone number
(310) 432-8708
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCOO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
PAWLOWSKI, ANTHONY JOHNPRESIDENT4337887

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

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219New York, NY 10167

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