Nancy E. Reid
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nancy Ellen Reid, who also goes by Nancy Ellen Jones Mrs., Nance Ellen Reid, Nancy E Reid, Nancy Ellen Reid, Nancy Reid, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 2008. Nancy had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2021 - January 4, 2022
SCHWAB WEALTH ADVISORY, INC.
December 10, 2020 - January 4, 2022
CHARLES SCHWAB & CO., INC.
August 15, 2016 - October 24, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 17, 2014 - July 12, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 13, 2011 - April 16, 2014
TD AMERITRADE, INC.
December 13, 2011 - April 16, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 27, 2011 - April 16, 2014
TD AMERITRADE, INC.
November 4, 2008 - March 3, 2011
TD AMERITRADE, INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/22/2024
General Securities Representative ExaminationCurrent Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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