Nicholas A. Natale
Professional summary
Nicholas Anthony Natale was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicholas is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Nicholas had worked at 14 firms, which includes WEATHERLY SECURITIES CORPORATION, GRANITE ASSOCIATES INC, WOODSTOCK FINANCIAL GROUP INC., ROSS SECURITIES CORP., FUHRMAN - MATT SECURITIES INC., BREAN MURRAY & CO. INC., MARSH BLOCK & CO. INC., STUART COLEMAN & CO. INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, SACCO SECURITIES CORPORATION, GLOBAL CAPITAL SECURITIES INC., FITZGERALD TALMAN INC., BRADSTREET CAPITAL INC., GREENTREE SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2000 - June 28, 2001
WEATHERLY SECURITIES CORPORATION
May 13, 1999 - June 5, 2006
GRANITE ASSOCIATES, INC
May 27, 1998 - November 3, 1998
WOODSTOCK FINANCIAL GROUP, INC.
May 16, 1995 - December 21, 1997
ROSS SECURITIES CORP.
August 24, 1994 - April 27, 1995
FUHRMAN - MATT SECURITIES, INC.
July 16, 1992 - July 27, 1994
BREAN MURRAY & CO., INC.
June 4, 1991 - July 7, 1992
MARSH, BLOCK & CO. INC.
October 25, 1990 - April 12, 1991
STUART, COLEMAN & CO., INC.
June 5, 1990 - October 8, 1990
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 26, 1989 - May 22, 1990
SACCO SECURITIES CORPORATION
January 3, 1989 - May 19, 1989
GLOBAL CAPITAL SECURITIES, INC.
March 15, 1988 - May 22, 1990
SACCO SECURITIES CORPORATION
December 8, 1987 - March 9, 1988
FITZGERALD, TALMAN, INC.
June 17, 1987 - October 28, 1987
BRADSTREET CAPITAL, INC.
November 21, 1986 - May 5, 1987
GREENTREE SECURITIES CORP.
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
Series 55
Date: 2/13/2001
Limited Representative-Equity Trader ExamCurrent Firm
WEATHERLY SECURITIES CORPORATION
CRD#: 11081 / SEC#: , 8-29003
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEATHERLY INTERNATIONAL, PLC | HOLDING COMPANY | |
| GEORGE, KENNETH RONALD | FINOP | |
| MARKS, KENNETH RYAN | VICE CHAIRMAN | 4479881 |
| MCKIERNAN, THOMAS ANTHONY | DIRECTOR OF OPERATIONS | |
| NAJARIAN, JACK GEORGE | CEO / CHAIRMAN | 2883669 |
| ODENTHAL, WILLIAM JOHN | CHIEF OPERATING OFFICER / PRESIDENT | 1345266 |
| SIERRA, JOE | BRANCH MANAGER / CHIEF ADMINISTRATIVE OFFICER | 1947654 |
| VITALE, ANTHONY VINCENT | HEAD OF TRADING | 2623131 |
| WARD, MICHAEL DAVID | MSRP - BOND PRINCIPAL | 1425173 |
| WILSON, JOHN JAMES | DIRECTOR OF COMPLIANCE |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 2 |
Red Flags
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