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CN

Charles B. Nanick

NATIXIS DISTRIBUTION
The Woodlands, TX
Some features on this profile are disabled
CRD#: 2881623
CN

Professional summary

Charles Bret Nanick is a registered financial professional currently at NATIXIS DISTRIBUTION, LLC located in The Woodlands, Texas.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1998. Charles has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Bret Nanick'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

August 18, 2003 - Present

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
The Woodlands, TX
Past

October 13, 1998 - August 19, 2003

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

January 15, 1998 - September 24, 1998

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

January 15, 1998 - September 24, 1998

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(1/9/2017)
RR
Arkansas
(1/9/2017)
RR
Colorado
(1/9/2017)
RR
Kansas
(1/4/2023)
RR
Louisiana
(1/9/2017)
RR
Minnesota
(1/4/2023)
RR
Montana
(1/4/2023)
RR
Nebraska
(1/4/2023)
RR
New Mexico
(1/9/2017)
RR
North Dakota
(1/4/2023)
RR
Oklahoma
(5/20/2010)
RR
South Dakota
(1/4/2023)
RR
Texas
(8/18/2003)
RR
Utah
(1/9/2017)
RR
Wyoming
(1/4/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 1/21/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/13/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/22/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ND
NATIXIS DISTRIBUTION, LLC
CDC IXIS ASSET MANAGEMENT DISTRIBUTORS, L.P. | TNE INVESTMENT SERVICES, L.P. | NVEST FUNDS DISTRIBUTOR, L.P. | NGAM DISTRIBUTION, L.P. | NEW ENGLAND FUNDS, L.P. | NATIXIS DISTRIBUTORS, L.P. | NATIXIS DISTRIBUTION, LLC | NATIXIS DISTRIBUTION, L.P. | IXIS ASSET MANAGEMENT DISTRIBUTORS, L.P.

CRD#: 34754 / SEC#: , 8-46325

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
888 Boylston Street Suite 800, Boston, MA 02199-8197
Mailing Address
888 Boylston Street Suite 800, Boston, MA 02199-8197
Phone number
(617) 449-2828
Established
Delaware since 07/23/1993
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIXIS INVESTMENT MANAGERS, LLCSOLE MEMBER
GIUNTA, DAVID LAWRENCEPRESIDENT, CHIEF EXECUTIVE OFFICER2290469
LOUREIRO, ANTHONY DAVIDCHIEF COMPLIANCE OFFICER2087464
PINASMITH, BEATRIZ ANAEXECUTIVE VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER2220599
ROSH, MARILYN VINTONSENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER4206001
TOBIN, SUSAN MCWHANEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL4649471

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.

Company Information

NATIXIS DISTRIBUTION, LLC

CRD#: 34754The Woodlands, TX

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