Nancy A. Darby
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.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nancy Ann Darby's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 22, 2018 - Present
ARES MANAGEMENT CAPITAL MARKETS LLC
Office #1: 245 Park Avenue 44th Floor, New York, NY 10167February 27, 2017 - January 31, 2018
ARES MANAGEMENT CAPITAL MARKETS LLC
December 23, 2013 - June 18, 2015
BARCLAYS CAPITAL INC.
September 10, 2013 - June 18, 2015
BARCLAYS CAPITAL INC.
April 20, 2011 - September 6, 2013
NYLIFE SECURITIES LLC
March 7, 2011 - September 5, 2013
NYLIFE DISTRIBUTORS LLC
October 18, 2010 - December 16, 2010
EQUITABLE ADVISORS, LLC
August 17, 2007 - August 26, 2010
FRANKLIN DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/22/2018)
Exams
FINRA
Current Firm
ARES MANAGEMENT CAPITAL MARKETS LLC
CRD#: 166219 / SEC#: , 8-69194
Contact information
FINRA licenses (53 States and Territories)
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.
