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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 Rose is an active investment advisor registered with the state of Virginia. Nancy has been in the securities industry since 1995 and has worked for Wells Fargo Clearing Services, LLC since 2007. Nancy's previous employers include LINSCO/PRIVATE LEDGER CORP., WACHOVIA SECURITIES, LLC, and FIRST UNION BROKERAGE SERVICES, INC. Nancy is licensed to offer securities and investment advice in 39 states. She is also registered as an Investment Advisor Representative for Wells Fargo Clearing Services, LLC. Nancy holds the following licenses and certifications: Series 7, Series 6, Series 63, Series 31, Series 65 and the SIE exam. Nancy specializes in offering investment consulting services to institutional clients, as well as financial planning, pension consulting, and portfolio management for businesses and individuals.
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.
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.
Investment consulting services to institutional clients
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
VA
08/09/2007 - Present
Wells Fargo Clearing Services, LLC (MCLEAN VA)
VA
09/13/2006 - 08/21/2007
LINSCO/PRIVATE LEDGER CORP. (HERNDON VA)
VA
10/01/2000 - 07/17/2006
WACHOVIA SECURITIES, LLC (MCLEAN VA)
NC
01/20/1999 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NC
01/31/1995 - 05/21/1998
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 12/11/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/01/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 01/19/1999
Series 7 - General Securities Representative Examination
BC
Issued 01/30/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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