Best Investors Account Sign in

Nancy Diane Stern

Raymond James & Associates, Inc.

Land O' Lakes, FL

St. Petersburg, FL

Claim This Profile
Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-08-26
  • FL RA
    APPROVED
    Since 2021-08-26

Branch Locations

Land O' Lakes, FL • United States

200 Central Avenue 24Th Floor, St. Petersburg, FL 33701 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Albany NY 01/2016 12/2017
Wells Fargo Clearing Services, Llc Albany NY 01/2018 08/2021
Raymond James & Associates, Inc. St. Petersburg FL 08/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-08
S63 Uniform Securities Agent State Law Examination 1995-02-14
  • S65 Uniform Investment Adviser Law Examination
    2011-12-08
  • S63 Uniform Securities Agent State Law Examination
    1995-02-14
Other Names
  • Nancy Diane Herbach
  • Nancy Herbach Stern
  • Nancy Herbach Stern
  • Nancy Stern

View on SEC IAPD

More in Land O' Lakes, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor