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Nancy Branton

Raymond James & Associates, INC.
38 Years of Experience
Ridgeland, MS
3 DisclosuresBroker
View SEC Summary
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Nancy Branton is a registered investment advisor at Raymond James & Associates, INC., based in Ridgeland, MS, with 38 years of industry experience. Nancy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1062 Highland Colony Parkway, Suite 100, Ridgeland, MS, 39157

Get directions

History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2018
Settled
Customer Dispute
March 2009
Settled
Customer Dispute
June 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Nancy is a board member of the Mississippi Symphony Orchestra and Foundation since 2010, dedicating a few hours per week. This activity is related to art, music, and education.

Employment History
Current Registrations
Raymond James & Associates, INC.
November 2019 - Present · 6 yrs 11 mos
Raymond James & Associates, INC.
November 2019 - Present · 6 yrs 11 mos
Raymond James & Associates, INC.Broker
November 2019 - Present · 6 yrs 11 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
December 2009 - November 2019 · 9 yrs 11 mos
Wells Fargo Clearing Services, LLCBroker
December 2009 - November 2019 · 9 yrs 11 mos
UBS Financial Services INC.
May 2006 - December 2009 · 3 yrs 7 mos
UBS Financial Services INC.Broker
August 2004 - December 2009 · 5 yrs 4 mos
Legg Mason Wood Walker, IncorporatedBroker
March 1999 - August 2004 · 5 yrs 5 mos
Sterne, Agee & Leach, INC.Broker
December 1996 - April 1999 · 2 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1990 - December 1996 · 6 yrs
Gna Securities, INC.Broker
January 1989 - August 1990 · 1 yr 7 mos
Pruco Securities CorporationBroker
September 1988 - October 1988 · 1 mo
The Prudential Insurance Company of AmericaBroker
September 1988 - October 1988 · 1 mo
Lincoln Investment Planning, INC.Broker
January 1988 - August 1988 · 7 mos
State Registrations16 states
ALARCOFLGAKYLAMSNCNYOHPASCTNTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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