Nancy V Fischer

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2003 → 09/2020
  Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
  Paramus, NJ
• 04/2003 → 09/2020
  Private Portfolio Partners
  Paramus, NJ
• 09/2020 → 06/2021
  Royal Alliance
  Livingston, NJ
• 08/2021 → Present
  Principal Life Insurance
  Raleigh, NC
• 09/2021 → Present
  Principal Securities Inc
  Raleigh, NC

Previous Registrations

• 2020-09-04 → 2021-04-19
  Osaic Wealth, Inc.
  Livingston, NJ
• 2005-10-17 → 2020-09-17
  Lpl Financial Llc
  Rutherford, NJ
  Paramus, NJ
• 2002-05-28 → 2003-03-04
  Morgan Stanley Dw Inc.
  Ridgewood, NJ

Exams

• S66 Uniform Combined State Law Examination
  2000-09-08

Other Names

• Nancy V Tay
• Nancy V Tay