Nancy Claire Schwart | Financial Professional

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 Claire Schwart was a registered financial professional .

Nancy is a previously registered financial professional and started their career in finance in 1978. Nancy had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

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.

CLERICAL FOR COASTAL INVESTMENT ADVISORS 20 HRS PER WEEK.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 2, 2011 - January 2, 2024

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

UNION, KY

Past

April 5, 2010 - July 21, 2011

THE COASTAL ADVISORY GROUP, LLC

RIA

CRD#: 139534

CINCINNATI, OH

Past

September 27, 2005 - January 2, 2024

REALTA EQUITIES, INC.

BD

CRD#: 23769

UNION, KY

Past

April 19, 2004 - September 16, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

CINCINNATI, OH

Past

May 3, 1985 - September 16, 2004

QUICK & REILLY, INC.

BD

CRD#: 11217

NEW YORK, NY

Past

November 3, 1981 - December 14, 1984

FIRST AFFILIATED SECURITIES, INC.

BD

CRD#: 6871

Past

October 23, 1980 - September 24, 1981

MOSELEY SECURITIES CORPORATION

BD

CRD#: 7908

Past

November 1, 1978 - July 16, 1980

PRUDENTIAL EQUITY GROUP, LLC

BD

CRD#: 7471

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".

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

State Security Law Exam

RR

Series 63

Date: 12/8/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 3

Date: 12/20/1982

National Commodity Futures Examination

General Industry/Product Exam

RR

Series 7

Date: 10/21/1978

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 10

Date: 11/26/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

RR

Series 9

Date: 5/23/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1201 N. Orange Street Suite 729, Wilmington, DE 19801

Mailing Address

Phone number

(888) 657-5200

Established

Firm type

Fiscal year end

# of Employees

64

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 3.21.2025 (3/31/2025)

ADV II 3.21.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,958
AUM (Assets Under Management)	$ 343,465,487

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.

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Advisor Monitoring

Firm Stability Insights

Nancy C. Schwart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE COASTAL ADVISORY GROUP, LLC

REALTA EQUITIES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

FIRST AFFILIATED SECURITIES, INC.

MOSELEY SECURITIES CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

REALTA INVESTMENT ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/8/1981

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 12/20/1982

Series 7

Date: 10/21/1978

Series 10

Date: 11/26/2002

Series 9

Date: 5/23/2002

Current Firm

REALTA INVESTMENT ADVISORS, INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REALTA INVESTMENT ADVISORS, INC

TRUST BUT VERIFY

Contact information

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