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NE

Nancy S. Ervin

CLEARCREEK SECURITIES
Salt Lake City, UT 84111
Some features on this profile are disabled
CRD#: 6987523
NE

Professional summary

Nancy S Ervin, who also goes by Kay Ervin, Nancy Kathryn Swain, is a registered financial professional currently at CLEARCREEK SECURITIES, LLC located in Salt Lake City, Utah.

Nancy is registered as a RR (Registered Representative) and started their career in finance in 2018. Nancy has worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kay Ervin | Nancy Kathryn Swain

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 S Ervin'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

August 31, 2020 - Present

CLEARCREEK SECURITIES, LLC

Office #1: 175 East 400 South, Suite 450, Salt Lake City, UT 84111
BD
CRD#: 169774
Salt Lake City, UT
Past

May 19, 2020 - September 1, 2020

DALMORE GROUP LLC

BD
CRD#: 136352
WOODMERE, NY
Past

November 12, 2018 - May 18, 2020

CAPSTONE PARTNERS

BD
CRD#: 132185
BOSTON, MA

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
California
(10/27/2021)
RR
Colorado
(8/31/2020)
RR
Utah
(1/5/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/18/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/12/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CLEARCREEK SECURITIES, LLC
CLEARCREEK PARTNERS | HARRISON CO. SECURITIES | CLEARCREEK SECURITIES, LLC

CRD#: 169774 / SEC#: , 8-69393

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

Main Address
1165 Delaware Street, Suite 130, Denver, CO 80204
Mailing Address
1165 Delaware Street, Suite 130, Denver, CO 80204
Phone number
(303) 383-1100
Established
Colorado since 09/11/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CLEARCREEK PARTNERS, LLCMEMBER
KINZER, CAROL ANNFINOP4519471
OOMS, CASPAR ALEXANDERCEO AND CHIEF COMPLIANCE OFFICER5002938

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

CLEARCREEK SECURITIES, LLC

CRD#: 169774Salt Lake City, UT 84111

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