Nathan Baruch
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 Baruch was a registered financial professional .
Nathan is a previously registered financial professional and started their career in finance in 2005. Nathan had worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2020 - January 3, 2022
SILVER LEAF PARTNERS, LLC
June 27, 2012 - May 19, 2015
BNY MELLON CAPITAL MARKETS, LLC
May 31, 2011 - May 31, 2012
ALLY SECURITIES LLC
February 23, 2009 - May 23, 2011
KEYBANC CAPITAL MARKETS INC.
August 16, 2005 - December 1, 2008
UBS SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/25/2024
General Securities Representative ExaminationCurrent Firm
SILVER LEAF PARTNERS, LLC
CRD#: 126694 / SEC#: , 8-65902
Contact information
FINRA licenses (50 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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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