Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy? Claim Your ProfileNancy Herlihy is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Nancy has been in the industry since 1989 and is licensed to provide investment advice in Delaware and Texas. Nancy has a broad range of experience working with a variety of clients, including individuals, corporations, and institutional investors. Nancy is committed to providing personalized investment advice and guidance to help clients reach 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
DE
11/22/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DOVER DE)
PA
03/04/2008 - 06/23/2010
UBS FINANCIAL SERVICES INC. (NEWTOWN PA)
DE
07/31/2006 - 11/13/2007
LINSCO/PRIVATE LEDGER CORP. (MILTON DE)
NJ
08/03/2004 - 05/19/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PRINCETON NJ)
PA
06/25/2003 - 07/23/2004
COMMERCE CAPITAL MARKETS, INC. (PHILADELPHIA PA)
KS
12/19/2002 - 03/14/2003
WADDELL & REED, INC. (OVERLAND PARK KS)
NY
07/02/1998 - 03/12/2002
SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)
NJ
01/03/1995 - 06/23/1998
PERSHING TRADING COMPANY, L.P. (JERSEY CITY NJ)
NJ
05/12/1994 - 01/03/1995
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
01/29/1992 - 04/11/1994
ROBB PECK MCCOOEY CLEARING CORPORATION (NEW YORK NY)
WI
12/17/1991 - 02/19/1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (MILWAUKEE WI)
NA
02/12/1990 - 02/01/1991
FENCHURCH SECURITIES, INC.
NY
06/20/1986 - 11/16/1989
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NA
07/26/1984 - 12/07/1984
Q & R CLEARING CORPORATION
BOTH
Issued 11/14/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/20/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/28/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/21/1988
Series 3 - National Commodity Futures Examination
BC
Issued 07/21/1984
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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