Nancy Anne Davis Harris

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 11/2014 → 03/2019
  Rbc Capital Markets, Llc
  Tacoma, WA
• 04/2019 → 07/2022
  National Life Group
  Gig Harbor, WA
• 04/2019 → 07/2022
  Equity Services Inc
  Montpelier, VT
• 08/2022 → Present
  Lpl Financial Llc
  Gig Harbor, WA

Previous Registrations

• 2019-04-04 → 2022-08-05
  Equity Services, Inc.
  Gig Harbor, WA
  Gig Harbor, WA
  Irvine, CA
• 2014-11-11 → 2019-04-09
  Rbc Capital Markets, Llc
  Tacoma, WA
• 2013-08-21 → 2014-11-12
  Mml Investors Services, Llc
  San Francisco, CA
• 2006-04-13 → 2013-07-23
  Pruco Securities, Llc.
  Mercer Island, WA
  Walnut Creek, CA
  Kalispell, MT
  Kalispell, MT
  Kalispell, MT
  Fresno, CA
• 1999-12-09 → 2003-07-11
  Citigroup Global Markets Inc.
  Kalispell, MT

Other Businesses

1) 8/2022- New Foundation Wealth Group- DBA for LPL Business (entity for LPL business)- inv. related- Gig Harbor WA 2) 8/2022- New Foundation Wealth Group- non-variable insurance - president- inv. related- Gig Harbor, WA - star date 4/2019- 4hrs/mth 3) 08/11/2023 - Science and Math Institute of Tacoma - Outside/W-2 Employment - Not Investment Related - Tacoma, WA - Start Date 09/07/2023 - 18 Hours Per Month/ 12 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-08-14
• S63 Uniform Securities Agent State Law Examination
  1997-07-19

Other Names

• Nancy Anne Gillespie
• Nancy Davis Gillespie
• Nancy D Davis
• Nancy Anne Davis
• Nancy A. Davis