John W. Nathaniel
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.
John Wellington Nathaniel JR, who also goes by John W Nathaniel, John Wellington Nathaniel, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 7 firms and has passed the Series 63, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 1999 - October 7, 1999
ORION FINANCIAL SERVICES, LLC
December 5, 1994 - May 29, 1997
FIRST LIBERTY INVESTMENT GROUP, INC.
January 31, 1994 - October 11, 1994
CITIGROUP GLOBAL MARKETS INC.
June 23, 1993 - October 28, 1993
PRUDENTIAL EQUITY GROUP, LLC
August 30, 1991 - June 15, 1993
LEGG MASON WOOD WALKER, INCORPORATED
December 7, 1987 - September 5, 1991
MORGAN STANLEY DW INC.
April 21, 1987 - October 7, 1987
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ORION FINANCIAL SERVICES, LLC
CRD#: 44827 / SEC#: , 8-50836
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
