Nathan Levy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nathan Levy, who also goes by Nat Levy, was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 1982. Nathan had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2016 - November 30, 2018
KESTRA ADVISORY SERVICES, LLC
April 24, 2006 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
April 24, 2006 - November 30, 2018
KESTRA INVESTMENT SERVICES, LLC
May 13, 2004 - April 17, 2006
WESTPARK WEALTH ADVISORS, INC.
July 6, 1999 - December 31, 2004
IMS SECURITIES, INC.
July 6, 1999 - April 17, 2006
IMS SECURITIES, INC.
November 19, 1989 - July 1, 1999
OSAIC WEALTH, INC.
June 9, 1987 - June 21, 1999
1717 CAPITAL MANAGEMENT COMPANY
January 13, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 28, 1982 - January 21, 1986
LOWRY FINANCIAL SERVICES CORPORATION
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
