Nathan E. Fischer
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.
Nathan Eugene Fischer, CFP®, who also goes by Nate Fischer, was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 1987. Nathan had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1993
Experience
May 1, 2014 - December 16, 2014
RACE ROCK CAPITAL LLC
February 8, 2000 - November 12, 2001
NICHOLAS-APPLEGATE SECURITIES LLC
July 18, 1994 - August 7, 1995
USAA INVESTMENT SERVICES COMPANY
August 19, 1993 - May 27, 1994
NATIONAL PLANNING CORPORATION
August 24, 1987 - January 20, 1989
MONARCH SECURITIES, INC.
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
RACE ROCK CAPITAL LLC
CRD#: 153363 / SEC#: , 8-68528
Contact information
FINRA licenses (9 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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