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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy anne? Claim Your ProfileNancy Anne Harris, a financial professional with over 25 years of experience, is a registered representative and investment advisor representative with LPL Financial LLC. Previously, Nancy Anne Harris was registered with Equity Services, Inc., RBC Capital Markets, LLC, MML Investors Services, LLC, Pruco Securities, LLC., and Citigroup Global Markets Inc. Nancy Anne Harris holds the Series 7, Series 63, and Series 65 licenses. Nancy Anne Harris also holds the Series 26 license, which allows her to provide investment company products and variable contracts. Nancy Anne Harris is currently licensed to provide investment advisory services in Washington and Texas. Nancy Anne Harris is also licensed to provide brokerage services in California, Missouri, Montana, Texas, and Washington.
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.
Consulting and other non-discretionary advisory services
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.
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2
WA
08/05/2022 - Present
LPL Financial LLC (Gig Harbor WA)
WA
04/04/2019 - 08/05/2022
EQUITY SERVICES, INC. (GIG HARBOR WA)
WA
11/10/2014 - 04/09/2019
RBC CAPITAL MARKETS, LLC (Tacoma WA)
CA
08/14/2013 - 11/12/2014
MML INVESTORS SERVICES, LLC (SAN FRANCISCO CA)
CA
09/22/2003 - 07/23/2013
PRUCO SECURITIES, LLC. (SAN FRANCISCO CA)
NY
11/05/1999 - 07/11/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MT
07/15/1997 - 11/05/1999
D.A. DAVIDSON & CO. (GREAT FALLS MT)
IA
Issued 08/14/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/29/2012
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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