Nathaniel S. Barnhart
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.
Nathaniel S Barnhart, who also goes by Nate Barnhart, was a registered financial professional .
Nathaniel is a previously registered financial professional and started their career in finance in 1994. Nathaniel had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2019 - October 25, 2022
AE WEALTH MANAGEMENT, LLC
May 7, 2019 - August 30, 2019
FIRST DOMINION CAPITAL CORP.
November 24, 2014 - March 14, 2018
G.F. INVESTMENT SERVICES, LLC
March 24, 2014 - August 26, 2019
SECURE INVESTMENT MANAGEMENT, LLC
December 22, 2010 - December 21, 2012
CHARLES SCHWAB & CO., INC.
December 22, 2010 - January 9, 2013
CHARLES SCHWAB & CO., INC.
October 24, 2005 - October 16, 2009
CHARLES SCHWAB & CO., INC.
September 27, 2005 - October 16, 2009
CHARLES SCHWAB & CO., INC.
March 14, 1996 - December 9, 1998
CITICORP INVESTMENT SERVICES
March 27, 1995 - February 28, 1996
MORGAN STANLEY DW INC.
June 14, 1994 - February 22, 1995
EDWARD JONES
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
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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