David A. Nagler

NEW LINE CAPITAL

Santa Fe, NM

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CRD#: 1190128

Professional summary

David Anthony Nagler is a registered financial advisor currently at NEW LINE CAPITAL, LLC located in Santa Fe, New Mexico.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. David has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Anthony Nagler's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 25, 2007 - Present

NEW LINE CAPITAL, LLC

RIA

CRD#: 143677

Santa Fe, NM

Past

December 13, 2005 - December 8, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SANTA FE, NM

Past

December 6, 2005 - December 8, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

SANTA FE, NM

Past

April 19, 2002 - November 29, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SANTA FE, NM

Past

April 5, 2002 - November 29, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 24, 1996 - April 15, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 11, 1992 - May 29, 1996

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

July 12, 1989 - November 12, 1992

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 24, 1986 - July 12, 1989

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

December 15, 1983 - October 4, 1984

NEW ENGLAND SECURITIES

CRD#: 615

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Mexico
(7/25/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/27/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/14/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 8

Date: 8/17/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

NEW LINE CAPITAL, LLC

CRD#: 143677 / SEC#: 801-67819

RIA

Registered Investment Advisory firm - (8/29/2014 Terminated)

California

Registered Investment Advisory firm - (12/16/2020 Terminated)

Colorado

Registered Investment Advisory firm - (5/8/2015 Approved)

Connecticut

Registered Investment Advisory firm - (1/21/2021 Approved)

New Jersey

Registered Investment Advisory firm - (5/7/2015 Approved)

New Mexico

Registered Investment Advisory firm - (8/25/2014 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Santa Fe, NM

Mailing Address

P.o. Box 2778, Santa Fe, NM 87504

Phone number

(505) 989-7211

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 29,317,194

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.

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Advisor Monitoring

Firm Stability Insights

David A. Nagler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Anthony Nagler's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

SUTRO & CO. INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

AMERICAN GENERAL SECURITIES INCORPORATED

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/1997

Series 63

Date: 10/9/1989

Series 7

Date: 8/18/1984

Series 6

Date: 12/14/1983

Series 8

Date: 8/17/1999

Current Firm

NEW LINE CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEW LINE CAPITAL, LLC

TRUST BUT VERIFY

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