Nancy RoachCRD Number: 1309581
Current Firm: Prudential Financial Planning Services
Nancy Roach (CRD# 1309581) is an Investment Advisor Representative working at Prudential Financial Planning Services in Downers Grove, IL and has over 20 years of experience in the finance industry. Nancy Roach has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Ellis Wealth Advisors, LLC
Waddell & Reed
|The Prudential Insurance Company Of America||Downers Grove, IL||Apr 2017 - Current||< 1|
|Pruco Securities, LLC||Downers Grove, IL||Apr 2017 - Current||< 1|
|Sigma Financial Corporation||Ann Arbor, MI||Jul 2013 - Apr 2017||3|
|Spc||Ann Arbor, MI||Jul 2013 - Apr 2017||3|
|Ameriprise Financial Services, Inc.||St. Charles, IL||Oct 2009 - Jul 2013||3|
|H & R Block Financial Advisors||St Charles, IL||May 2008 - Jul 2013||5|
|Citigroup Global Markets Inc.||Streamwood, IL||May 2007 - May 2008||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1997|
|S65||NASAA Investment Advisors Law Examination||Jul 1997|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Customer Dispute
Total Assets Under Management5,161MILLIONS
Total Number of Accounts41,530ACCOUNTS
Average Account Value$124,275
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY
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