Nancy Thai
Professional summary
Nancy Thai is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in New York, New York.
Nancy is registered as a RR (Registered Representative) and started their career in finance in 2016. Nancy has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nancy Thai's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 22, 2024 - Present
DWS DISTRIBUTORS, INC.
Office #1: 875 Third Avenue, New York, NY 10022January 23, 2017 - November 16, 2021
EDWARD JONES
November 10, 2016 - November 16, 2021
EDWARD JONES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
Current Firm
DWS DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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