Nancy Barron & Associates, Inc.
150 Grand Boulevard
Lexington, KY 40507
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Toll Free: 800-489-4124
Monday through Friday
8am to 4pm
David Shaw | Pat Bradley |
Jackie Brackett | Nancy T. Barron, II |
Thanks for your interest in Nancy Barron & Associates, Inc., where we take "A Teamwork Approach to
Individual Investing." We are an introducing broker/dealer. Our three registered brokers work together as a
team and are salaried rather than commission driven. This means that whenever you call, whoever you talk
to, your needs can be met right then and there. We believe this makes us very unique in the industry. Our
reputation speaks for itself, as ninety-five percent of our new clients are referrals from existing clients.
If you'd like to trade online, day trade, or make all of your own investment decisions, we are not the
brokerage firm for you. If you'd like to feel you are more than just an account number, commission dollars,
or a "cookie cutter" formula, then you are for us! Between our three brokers, financial operations principal,
and office manager you would be working with over 114 years of combined brokerage experience.
Check the background of this firm on FINRA’s BrokerCheck.
Nancy Barron & Associates, Incorporated, member FINRA, MSRB and SIPC. Accounts are carried by National Financial Services, LLC(NFS), member NYSE/SIPC. Nancy Barron & Associates, Inc. and National Financial Services, LLC are in no way affiliated, and are two totally independent companies.
Securities in accounts carried by National Financial Services LLC (“NFS”), a Fidelity Investments
company, are protected in accordance with the Securities Investor Protection Corporation (“SIPC”) up
to $500,000. For claims filed on or after July 22, 2010, the $500,000 total amount of SIPC protection is
inclusive of up to $250,000 protection on claims for cash, subject to periodic adjustments for inflation
in accordance with terms of the SIPC statute and approval by SIPC’s board of directors. NFS also has
arranged for coverage above these limits. Neither coverage protects against a decline in the market
value of securities, nor does either coverage extend to certain securities that are considered ineligible
for coverage. For more details on SIPC, or to request a SIPC brochure, visit www.sipc.org or call
“Excess of SIPC” Coverage In addition to SIPC protection, NFS provides for brokerage accounts
additional “excess of SIPC” coverage through Lloyd’s of London, together with other insurers.*
The excess of SIPC coverage will be used only when SIPC coverage is exhausted. Like SIPC protection,
excess of SIPC protection does not cover investment losses in customer accounts due to market
fluctuation. It also does not cover other claims for losses incurred while broker-dealers remain in
business. Total aggregate excess of SIPC coverage available through NFS’s excess of SIPC policy is
$1 billion. Within NFS’s excess of SIPC coverage, there is no per-account dollar limit on coverage of
securities, but there is a per-account limit of $1.9 million on coverage of cash. This is the maximum
excess of SIPC protection currently available in the brokerage industry.
Lloyd’s of London currently has an A (Excellent) rating with “Stable Outlook” from the ratings firm
A.M. Best and an A+ (Strong) rating with “Stable Outlook” from Fitch Ratings and Standard & Poor’s.†
*Fidelity’s excess of SIPC insurance is provided by Lloyd’s of London, together with AXIS Specialty Europe Ltd.
and Munich Re.
†As of December 2012, and subject to change. For ratings explanations, please go to http://www.lloyds.com/
© 2016. Nancy Barron Associates, Inc. All Rights Reserved.