Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy? Claim Your ProfileNancy Unglaub is a financial professional with over 30 years of experience in the industry. Nancy is a Registered Representative and Investment Advisor Representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. Previously, Nancy was registered with Oberweis Securities, Inc. and Illinois Company Investments, Inc. Nancy holds the Series 7, Series 63, and Series 65 licenses. She is also a Certified Financial Planner (CFP). Nancy's experience includes working with high-net-worth individuals, corporations, and other institutions. She has a strong track record of providing financial advice and investment management services. Nancy is committed to providing her clients with personalized service and helping them achieve their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
IL
06/15/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (OAK BROOK IL)
NA
04/28/1988 - 08/27/1991
OBERWEIS SECURITIES, INC.
NA
11/25/1988 - 01/02/1989
ILLINOIS COMPANY INVESTMENTS, INC.
IA
Issued 12/05/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/26/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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