Nancy L. Peck

ATB CAPITAL MARKETS USA

Calgary, T2P 1g1

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CRD#: 5174759

Professional summary

Nancy Lynn Peck, who also goes by Nancy Lynn Harter, Nancy L Peck, is a registered financial professional currently at ATB CAPITAL MARKETS USA INC. .

Nancy is registered as a RR (Registered Representative) and started their career in finance in 2007. Nancy has worked at 2 firms and has passed the Series 99TO, SIE and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nancy Lynn Harter | Nancy L Peck

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 Lynn Peck'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

June 9, 2015 - Present

ATB CAPITAL MARKETS USA INC.

Office #1: 585 8th Avenue Sw Suite #410, Calgary, T2P 1g1Office #2: #410 585 8th Avenue Sw, Calgary, T2P 1G1

RIA

CRD#: 155053

Calgary,

Past

December 17, 2013 - October 31, 2014

JENNINGS CAPITAL (USA) INC.

CRD#: 141191

CALGARY AB,

Past

January 5, 2007 - November 27, 2012

JENNINGS CAPITAL (USA) INC.

CRD#: 141191

CALGARY, ALBERTA,

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ATB CAPITAL MARKETS USA INC.

ALTACORP CAPITAL (USA) INC. | ATB CAPITAL MARKETS USA INC.

CRD#: 155053 / SEC#: 801-128511, 8-68692

RIA

Registered Investment Advisory firm - SEC (1/12/2024 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 27

Date: 8/23/2006

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

ATB CAPITAL MARKETS USA INC.

ALTACORP CAPITAL (USA) INC. | ATB CAPITAL MARKETS USA INC.

CRD#: 155053 / SEC#: 801-128511, 8-68692

RIA

Registered Investment Advisory firm - SEC (1/12/2024 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

#410 585 8th Avenue Sw, Calgary, Alberta, T2P 1G1

Mailing Address

#410 585 8th Avenue Sw, Calgary, T2P 1G1

Phone number

(403) 593-8600

Established

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

RESEARCH SERVICES (6/11/2025)

Direct owners and executive officers

Name	Position	CRD#
ATB SECURITIES, INC.	SHAREHOLDER
EDWARDS, LISA MARIE	CHIEF COMPLIANCE OFFICER	5592656
EURICH, DARREN LEE	EXECUTIVE REPRESENTATIVE, CEO, MEMBER OF BOARD OF DIRECTORS	7323470
PECK, NANCY LYNN	FINOP/CFO	5174759

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Nancy L. Peck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nancy Lynn Peck's CRS (Customer Relationship Summary).

Certified licenses

Experience

ATB CAPITAL MARKETS USA INC.

JENNINGS CAPITAL (USA) INC.

JENNINGS CAPITAL (USA) INC.

Primary Firm SEC Registration

ATB CAPITAL MARKETS USA INC.

State Registrations and Notice Filings

Exams

Series 99TO

Date: 1/2/2023

SIE

Date: 1/2/2023

Series 27

Date: 8/23/2006

FINRA

Current Firm

ATB CAPITAL MARKETS USA INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

ATB CAPITAL MARKETS USA INC.

TRUST BUT VERIFY

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