Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nancy? Claim Your ProfileNancy Knapp is an investment advisor representative with over 30 years of experience in the financial services industry. Nancy is currently registered with Raymond James & Associates, Inc. and has held previous roles with WELLS FARGO CLEARING SERVICES, LLC, CITIGROUP GLOBAL MARKETS INC., LEGG MASON WOOD WALKER, INCORPORATED and J.C. BRADFORD & CO.. Nancy offers a variety of services, including financial planning, portfolio management for businesses and individuals, pension consulting, educational seminars and selection of other advisors.
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.
Please see note in schedule d - miscellaneous
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
OH
03/08/2018 - Present
Raymond James & Associates, Inc. (Dublin OH)
OH
09/14/2007 - 03/12/2018
WELLS FARGO CLEARING SERVICES, LLC (DUBLIN OH)
OH
02/21/2006 - 07/02/2007
CITIGROUP GLOBAL MARKETS INC. (COLUMBUS OH)
MD
06/07/2000 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
09/18/1998 - 06/10/2000
J.C. BRADFORD & CO. (NEW YORK NY)
OH
06/12/1991 - 09/21/1998
FIFTH THIRD/THE OHIO COMPANY (CINCINNATI OH)
IA
Issued 11/08/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/22/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/17/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/17/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2009
Series 3 - National Commodity Futures Examination
BC
Issued 06/11/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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