Michael F. Natale

FOUNDATION CAPITAL MANAGEMENT

East Norriton, PA 19401

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CRD#: 1333587

Professional summary

Michael Francis Natale is a registered financial advisor currently at FOUNDATION CAPITAL MANAGEMENT, LLC located in East Norriton, Pennsylvania and OSAIC WEALTH, INC. located in Norristown, Pennsylvania.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 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.

1. FOUNDATION CAPITAL MANAGEMENT, LLC POSITION: partner NATURE: RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 12 START DATE: 01/01/2007 ADDRESS: 2100 swede rd, norristown PA 19401 DESCRIPTION: financial planning for fees and asset management for a % 2. FOUNDATION CAPITAL MANAGEMENT, LLC POSITION: independent contractor NATURE: fixed insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2007 ADDRESS: 2100 swede rd, norristown PA 19401 DESCRIPTION: sales of fixed insurance and annuities 3. DBA - Foundation Capital Management, LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Francis Natale's CRS (Customer Relationship Summary).

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

February 26, 2007 - Present

FOUNDATION CAPITAL MANAGEMENT, LLC

Office #1: 2100 Swede Rd, East Norriton, PA 19401

RIA

CRD#: 142659

East Norriton, PA

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2100 Swede Rd., Norristown, PA 19401

RIA

CRD#: 23131

NORRISTOWN, PA

Past

September 18, 2020 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

NORRISTOWN, PA

Past

January 3, 2007 - September 18, 2020

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

NORRISTOWN, PA

Past

November 2, 1999 - January 11, 2007

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

NORRISTOWN, PA

Past

April 9, 1991 - January 11, 2007

SECURITIES AMERICA, INC.

CRD#: 10205

NORRISTOWN, PA

Past

July 21, 1989 - March 25, 1991

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

July 21, 1989 - March 25, 1991

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

July 29, 1985 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

July 29, 1985 - June 12, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

January 29, 1985 - August 29, 1985

SIGNATOR INVESTORS, INC.

CRD#: 468

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FOUNDATION CAPITAL MANAGEMENT, LLC

CRD#: 142659 / SEC#: 801-127582

RIA

Registered Investment Advisory firm - (3/21/2024 Approved)

Pennsylvania

Registered Investment Advisory firm - (4/10/2024 Terminated)

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).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/14/2024)

Arizona
(6/14/2024)

California
(6/14/2024)

Connecticut
(6/14/2024)

Delaware
(6/14/2024)

Florida
(6/14/2024)

Georgia
(6/14/2024)

Hawaii
(6/14/2024)

Illinois
(6/14/2024)

Indiana
(6/14/2024)

Maryland
(6/14/2024)

Mississippi
(6/14/2024)

New Hampshire
(6/14/2024)

New Jersey
(6/14/2024)

New York
(6/14/2024)

North Carolina
(6/14/2024)

Oregon
(6/14/2024)

IAR

Pennsylvania
(2/26/2007)

Pennsylvania
(6/14/2024)

South Carolina
(6/14/2024)

South Dakota
(6/14/2024)

Texas
(6/14/2024)

Virginia
(6/14/2024)

Wyoming
(6/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/6/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/19/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/3/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/28/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/26/1991

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FOUNDATION CAPITAL MANAGEMENT, LLC

CRD#: 142659 / SEC#: 801-127582

RIA

Registered Investment Advisory firm - (3/21/2024 Approved)

Pennsylvania

Registered Investment Advisory firm - (4/10/2024 Terminated)

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Contact information

Main Address

2100 Swede Rd, East Norriton, PA 19401

Mailing Address

Phone number

(610) 278-6961

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOUNDATION CAPITAL MANAGEMENT PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	491
AUM (Assets Under Management)	$ 196,215,325

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

Michael F. Natale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Francis Natale's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

SECURITIES SERVICE NETWORK, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

FOUNDATION CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/6/1991

Series 63

Date: 2/19/1985

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1987

Series 22

Date: 4/3/1985

Series 6

Date: 1/28/1985

Series 24

Date: 4/26/1991

FINRA

Current Firm

FOUNDATION CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOUNDATION CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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