Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy? Claim Your ProfileNancy Farias is a financial advisor registered with Raymond James & Associates, Inc. Nancy has been in the industry since 1998 and holds a Series 63, Series 7 and Series 65 licenses. Nancy has experience working with clients including corporations, high-net-worth individuals, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Nancy offers a variety of financial planning services, including portfolio management, pension consulting, and educational seminars.
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
01/03/2018 - Present
Raymond James & Associates, Inc. (Naples FL)
FL
02/19/2003 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (NAPLES FL)
NY
11/20/2002 - 12/19/2002
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
NY
01/02/2002 - 11/20/2002
LADENBURG CAPITAL MANAGEMENT INC. (BETHPAGE NY)
NY
10/30/2001 - 01/02/2002
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
NY
04/11/2000 - 09/05/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
CT
10/16/1996 - 03/31/2000
ADVEST, INC. (HARTFORD CT)
IA
Issued 12/23/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1996
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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