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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy? Claim Your ProfileNancy Ann Harris is a financial advisor with UBS Financial Services Inc. with over 30 years of experience in the industry. Nancy has been a registered representative with UBS Financial Services Inc. since 2014. Previously, Nancy worked with PNC Investments, Wells Fargo Advisors, LLC, J.J.B. Hilliard, W.L. Lyons, Inc., PNC Brokerage Corp, and PNC Securities Corp. Nancy holds Series 6, 7, 9, 10, 24, 27, 62, 63, and 65 licenses. Nancy is registered to provide financial advice in Florida, Indiana, Kentucky, Ohio, and Texas.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
OH
05/20/2014 - Present
UBS Financial Services Inc. (CINCINNATI OH)
OH
09/06/2005 - 05/22/2014
WELLS FARGO ADVISORS, LLC (CINCINNATI OH)
PA
01/01/2004 - 09/21/2005
PNC INVESTMENTS (PITTSBURGH PA)
KY
04/21/1999 - 01/01/2004
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
PA
12/23/1994 - 04/21/1999
PNC BROKERAGE CORP (PITTSBURGH PA)
PA
06/11/1990 - 12/23/1994
PNC SECURITIES CORP (PITTSBURGH PA)
NA
08/03/1987 - 06/11/1990
CENTRAL TRADE$AVER, INC.
IA
Issued 09/27/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/27/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/15/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/15/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/24/1994
Series 24 - General Securities Principal Examination
BC
Issued 02/29/1988
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1993
Series 7 - General Securities Representative Examination
BC
Issued 09/06/1988
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 07/31/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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