Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy? Claim Your ProfileNancy Linda Toms is a financial advisor with over 27 years of experience in the industry. Nancy is registered with UBS Financial Services Inc., and holds the Series 6, 7, 63, and 65 licenses, as well as the SIE exam certification. Nancy specializes in financial planning, portfolio management, and educational seminars. Previous to her current firm, Nancy has also held positions at Pacific West Securities, Inc., UBS Paine Webber Inc., and Franklin/Templeton Distributors, Inc.
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.
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.
See schedule d - miscellaneous
1
2
CA
10/30/2001 - Present
UBS Financial Services Inc. (Rocklin CA)
WA
04/23/2001 - 11/02/2001
PACIFIC WEST SECURITIES, INC. (RENTON WA)
NJ
03/04/1996 - 03/22/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
CA
03/23/1994 - 02/01/1996
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
IA
Issued 08/04/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/19/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/1997
Series 7 - General Securities Representative Examination
BC
Issued 03/22/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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