Nathan C. Gorin
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 Charles Gorin, who also goes by Nathan Gorin, was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 1992. Nathan had worked at 14 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2010 - June 13, 2016
HEDGE HARBOR INC.
July 29, 2009 - October 26, 2009
NOMURA SECURITIES NORTH AMERICA, LLC
July 16, 2004 - October 26, 2009
NOMURA SECURITIES INTERNATIONAL, INC.
June 17, 2004 - July 22, 2004
CASTLEOAK SECURITIES, LP
June 17, 2004 - July 22, 2004
AQUA SECURITIES L.P.
June 17, 2004 - July 22, 2004
ESPEED BROKERAGE, L.P.
June 17, 2004 - July 22, 2004
CANTOR FITZGERALD SECURITIES
June 17, 2004 - July 22, 2004
MINT BROKERS
November 8, 2002 - July 22, 2004
CANTOR FITZGERALD & CO.
November 28, 2001 - September 5, 2002
SAFRA SECURITIES LLC
December 18, 1998 - October 23, 2000
CITIGROUP GLOBAL MARKETS INC.
July 29, 1998 - December 18, 1998
CITICORP SECURITIES, INC.
November 11, 1996 - June 17, 1997
CITICORP SECURITIES, INC.
October 20, 1993 - June 28, 1995
ING BARING (U.S.) SECURITIES, INC.
December 8, 1992 - July 12, 1993
JAMES CAPEL INCORPORATED
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
HEDGE HARBOR INC.
CRD#: 44324 / SEC#: , 8-50629
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSET ALLIANCE HOLDING CORP. | SHAREHOLDER | |
| LIPNICK, BRUCE HOWARD | CHAIRMAN, CEO, CCO, DIRECTOR, GSP | 1095377 |
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.
