Nancy B. Dain-smith
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 Beatrice Dain-smith, who also goes by Nancy Beatrice Dain, Nancy Beatrice Dainsmith, Nancy Dainsmith, Nancy Beatrice Summers, Nancy Dain Summers, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1977. Nancy had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2011 - September 11, 2015
ALLSTATE FINANCIAL SERVICES, LLC
May 2, 2009 - December 1, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - December 1, 2009
CHASE INVESTMENT SERVICES CORP.
December 1, 2005 - May 2, 2009
WAMU INVESTMENTS, INC.
December 1, 2005 - May 2, 2009
WAMU INVESTMENTS, INC.
February 18, 2000 - November 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 1999 - November 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 1992 - August 28, 1998
BA INVESTMENT SERVICES, INC.
September 28, 1989 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
September 21, 1987 - October 4, 1989
MORGAN STANLEY DW INC.
April 30, 1985 - September 29, 1987
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 22, 1984 - April 30, 1985
GWF SECURITIES, CORP.
February 22, 1983 - January 4, 1984
LEHMAN BROTHERS INC.
November 19, 1981 - February 19, 1983
WZW FINANCIAL SERVICES, INC.
June 1, 1977 - October 10, 1981
R. ROWLAND & CO., INCORPORATED
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 8
Date: 3/25/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
