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Nancy Swift

National Financial Services LLC

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About Nancy Swift

Nancy Swift is a financial professional with over 15 years of experience in the industry. Nancy is currently registered with National Financial Services LLC, Fidelity Distributors Co. LLC, Fidelity Prime Financing, Digital Brokerage Services LLC and Green Pier Fintech LLC. Nancy has a strong background in securities, having held previous roles with WELLS FARGO CLEARING SERVICES, LLC, WELLS FARGO SECURITIES, LLC and DEUTSCHE BANK SECURITIES INC. Nancy holds Series 7, Series 66 and Series 14 licenses, and is currently registered with the state of New York.

Firm Information

Nancy Swift is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Nancy Swift’s Registration & Firm History

NY

02/11/2022 - Present

National Financial Services LLC (NEW YORK CITY NY)

MO

08/29/2017 - 10/09/2020

WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)

NY

11/06/2014 - 07/31/2017

WELLS FARGO SECURITIES, LLC (NEW YORK NY)

NY

02/28/2007 - 08/20/2014

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 03/24/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/27/2007

Series 14 - Compliance Officer Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/17/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Nancy Swift.
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