Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy? Claim Your ProfileNancy Ly is an active broker and investment advisor representative, registered in 53 states and 2 U.S. territories. Nancy has been in the industry since 2008 and is currently associated with UBS Financial Services Inc. Nancy has a variety of experience with different firms, including Morgan Stanley and Morgan Stanley & Co., Incorporated. Nancy has a proven track record of success in the financial services industry.
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
12/09/2021 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
08/01/2016 - 11/30/2021
MORGAN STANLEY (San Francisco CA)
NY
03/25/1996 - 01/21/2004
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BOTH
Issued 8/26/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 5/28/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 4/16/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 3/1/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/1/2016
Series 7 - General Securities 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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