Nat Di Carlo

CROSSMARKET CAPITAL

Newport Beach, CA 92660

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CRD#: 2252396

Professional summary

Nat Di Carlo, who also goes by Nat Dicarlo, is a registered financial advisor currently at CROSSMARKET CAPITAL, LLC located in Newport Beach, California.

Nat is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Nat has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nat Dicarlo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MR. DICARLO IS A CONSULTANT FOR DCI INVESTMENTS, LLC-A REAL ESTATE INVESTMENT FIRM. HE SPENDS LESS THAN 50% OF HIS TIME PER MONTH IN THIS CAPACITY. CLIENTS ARE WELCOME BUT NEVER OBLIGATED TO UTILIZE THE SERVICES AVAILABLE THROUGH THIS OUTSIDE BUSINESS. ANY NON-ADVISORY SERVICES PROVIDED BY DCI INVESTMENTS, LLC WILL BE PURSUANT TO A SEPARATE AGREEMENT WITH THE APPROPRIATE ENTITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nat Di Carlo's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 7, 2013 - Present

CROSSMARKET CAPITAL, LLC

Office #1: 1300 Quail Suite 108, Newport Beach, CA 92660

RIA

CRD#: 168947

Newport Beach, CA

Past

June 1, 2009 - October 15, 2013

MORGAN STANLEY

RIA

CRD#: 149777

NEWPORT BEACH, CA

Past

June 1, 2009 - October 15, 2013

MORGAN STANLEY

CRD#: 149777

NEWPORT BEACH, CA

Past

July 8, 1997 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEWPORT BEACH, CA

Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEWPORT BEACH, CA

Past

August 5, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/7/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/19/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/7/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/3/1992

General Securities Representative Examination

Current Firm

CROSSMARKET CAPITAL, LLC

CRD#: 168947 / SEC#: 801-78551

RIA

Registered Investment Advisory firm - (4/1/2014 Terminated)

California

Registered Investment Advisory firm - (2/22/2022 Termination Requested)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1300 Quail Suite 108, Newport Beach, CA 92660

Mailing Address

Phone number

(949) 290-1660

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	140
AUM (Assets Under Management)	$ 22,250,000

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.

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Nat Di Carlo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nat Di Carlo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CROSSMARKET CAPITAL, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/19/1992

Series 63

Date: 8/7/1992

Series 7

Date: 8/3/1992

Current Firm

CROSSMARKET CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CROSSMARKET CAPITAL, LLC

TRUST BUT VERIFY

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