Nancy Barron & Associates, Inc.



Toll Free:      800-489-4124

Telephone:   859-254-4010

Fax:              859-254-8497


150 Grand Boulevard
Lexington, KY 40507

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Office Hours:

Weekdays 9-4 or by appointment 

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For your personal protection and security, Nancy Barron & Associates, INC has a Compliance Practice of not accepting trade orders via email, text, or through this website.  Also, our firm will not process any alteration or change of any account feature through email, text, or this website. For prompter service on any matter, please call (800) 489-4124 or visit us during office hours. Thank you.


Global Markets Research  :  Beginner Investor Services   Experienced Investor Services

401k Retirement Rollovers & IRA Transfers    Wealth Transfer  :   Wealth Accumulation 

Building Growth & Income Strategies :  Employee Retirement Programs :  Estate Planning  

Financial Management & Review    Margin  Option  Consulting & Coaching

Nancy Barron & Associates, Incorporated, member FINRAMSRB and SIPC. Accounts are Clearing Housed with 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 isinclusive 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 or call 202.371.8300.


“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 i 
$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 Lloyds_Market/Ratings/.

For information about this firm and other FINRA information, please view FINRA's brokercheck at

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