Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy? Claim Your ProfileNancy Stern is an investment advisor representative with Raymond James & Associates, Inc. Nancy has been in the industry since 1998 and is registered with the state of Florida. Nancy is also licensed to provide financial planning and portfolio management services. Nancy has been with Wells Fargo Clearing Services, LLC since 2016 and A. G. Edwards & Sons, Inc. from 2004 to 2007. Nancy has a wide range of experience in the financial services industry and is committed to providing her clients with the highest level of service.
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.
Please see note in schedule d - miscellaneous
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.
1
2
FL
08/26/2021 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
NY
02/03/2009 - 08/18/2021
WELLS FARGO CLEARING SERVICES, LLC (ALBANY NY)
FL
01/15/2004 - 06/13/2007
A. G. EDWARDS & SONS, INC. (LAKE MARY FL)
MO
01/31/1997 - 12/21/2001
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NJ
02/03/1995 - 01/27/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 12/08/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/14/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/03/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/08/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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