Nathaniel V. Lacov
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.
Nathaniel Victor Lacov, who also goes by Nathaniel VIctor Lacov, Nat Lacov, Nathaniel V Lacov, was a registered financial professional .
Nathaniel is a previously registered financial professional and started their career in finance in 1983. Nathaniel had worked at 16 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2023 - May 22, 2024
J.P. MORGAN SECURITIES LLC
August 30, 2022 - September 20, 2023
WELLS FARGO CLEARING SERVICES, LLC
June 3, 2015 - July 18, 2017
CAPITAL ONE INVESTING, LLC
May 9, 2011 - June 9, 2015
GILFORD SECURITIES INCORPORATED
December 4, 2009 - September 2, 2010
CHASE INVESTMENT SERVICES CORP.
August 27, 2008 - August 3, 2009
THE LEADERS GROUP, INC.
May 29, 2007 - August 18, 2008
CITIGROUP GLOBAL MARKETS INC.
January 5, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 14, 2005 - August 4, 2006
THE LEADERS GROUP, INC.
April 9, 2003 - April 30, 2003
TEACHERS PERSONAL INVESTORS SERVICES, INC.
July 2, 2001 - October 14, 2002
PRINCIPAL SECURITIES, INC.
July 26, 2000 - June 26, 2001
PARK AVENUE SECURITIES LLC
February 6, 1995 - September 8, 1998
WS GRIFFITH SECURITIES, INC.
January 13, 1993 - February 9, 1995
HIMCO DISTRIBUTION SERVICES COMPANY
August 12, 1991 - December 4, 1992
AETNA LIFE INSURANCE AND ANNUITY COMPANY
January 19, 1983 - March 10, 1988
METROPOLITAN LIFE INSURANCE COMPANY
January 19, 1983 - March 11, 1988
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
